Filing Details

Accession Number:
0001127602-14-014831
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-04-18 19:28:43
Reporting Period:
2014-04-16
Filing Date:
2014-04-18
Accepted Time:
2014-04-18 19:28:43
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1568669 Pennymac Financial Services Inc. PFSI Mortgage Bankers & Loan Correspondents (6162) 800882793
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1469142 Matthew Botein C/O Pennymac Financial Services, Inc.
6101 Condor Drive
Moorpark CA 93021
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Disposition 2014-04-16 4,900 $16.49 66,459 No 4 S Direct
Class A Common Stock Disposition 2014-04-17 6,200 $16.34 60,259 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC $0.00 2013-11-05 1,118,552 1,118,552 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
1,118,552 1,118,552 Direct
Footnotes
  1. These common shares of beneficial interest were sold pursuant to a 10b5-1 plan.
  2. The price reported is the weighted average price of multiple transactions at prices ranging from $16.39 to $16.62. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of common shares of beneficial interest and the prices at which the transactions were effected.
  3. The price reported is the weighted average price of multiple transactions at prices ranging from $16.20 to $16.44. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of common shares of beneficial interest and the prices at which the transactions were effected.
  4. The reported amount consists of 4,459 restricted share units and 55,800 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting.
  5. Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments, from and after the closing of PennyMac Financial Services, Inc.'s initial public offering, and after the expiration of a lock-up agreement.
  6. N/A