Filing Details

Accession Number:
0001127602-18-023092
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-07-11 12:47:41
Reporting Period:
2018-07-10
Accepted Time:
2018-07-11 12:47:41
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1568669 Pennymac Financial Services Inc. PFSI () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1469142 Matthew Botein C/O Pennymac Financial Services, Inc.
3043 Townsgate Road
Westlake Village CA 91361
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 Acquisiton 2018-07-10 10,000 $0.00 35,893 No 4 M Direct
Class A Common Stock Disposition 2018-07-10 10,000 $19.86 25,893 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Stock Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC Disposition 2018-07-10 10,000 $0.00 10,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
768,552 2013-11-05 No 4 M Direct
Footnotes
  1. Represents shares of Class A Common Stock received upon the exchange of Class A Units of Private National Mortgage Acceptance Company, LLC.
  2. 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.
  3. The reported amount consists of 10,128 restricted stock units and 25,765 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.
  4. These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
  5. The price reported is the weighted average price of multiple transactions ranging from $19.75 to $20.00. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected.
  6. The reported amount consists of 10,128 restricted stock units and 15,765 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.
  7. N/A