0001127602-21-010866.txt : 20210316 0001127602-21-010866.hdr.sgml : 20210316 20210316183309 ACCESSION NUMBER: 0001127602-21-010866 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210315 FILED AS OF DATE: 20210316 DATE AS OF CHANGE: 20210316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grogin Jeffrey CENTRAL INDEX KEY: 0001440697 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38727 FILM NUMBER: 21747573 MAIL ADDRESS: STREET 1: C/O PENNYMAC, 6101 CONDOR DRIVE STREET 2: UPPER LEVEL CITY: MOORPARK STATE: CA ZIP: 93021 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PennyMac Financial Services, Inc. CENTRAL INDEX KEY: 0001745916 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 831098934 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3043 TOWNSGATE ROAD CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 BUSINESS PHONE: (818) 224-7442 MAIL ADDRESS: STREET 1: 3043 TOWNSGATE ROAD CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 FORMER COMPANY: FORMER CONFORMED NAME: New PennyMac Financial Services, Inc. DATE OF NAME CHANGE: 20180709 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2021-03-15 0001745916 PennyMac Financial Services, Inc. PFSI 0001440697 Grogin Jeffrey C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 Chief Enterprise Ops Officer Common Stock 2021-03-15 4 F 0 1161 65.70 D 25825 D Common Stock 21000 I JBG Children's Trust utd 12/31/2000 Common Stock 22129 I MJG Children's Trust utd 12/31/2000 Common Stock 453655 I The Grogin Living Trust dtd 12-19-01 Common Stock 4395 I Grogin Giving Fund Nonstatutory Stock Option (Right to Buy) 24.40 2019-03-09 2028-03-08 Common Stock 5735 5735 D Nonstatutory Stock Option (Right to Buy) 22.92 2020-03-15 2029-03-14 Common Stock 12038 12038 D Nonstatutory Stock Option (Right to Buy) 35.03 2021-02-26 2030-02-25 Common Stock 17824 17824 D Nonstatutory Stock Option (Right to Buy) 58.85 2022-02-25 2031-02-24 Common Stock 9239 9239 D Represents shares withheld for taxes upon vesting of restricted stock units. The reported amount consists of 7,744 restricted stock units and 18,081 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. This nonstatutory stock option to purchase 17,204 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 18,057 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 15, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 17,824 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 9,239 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date. /s/ Derek W. Stark, attorney-in-fact for Mr. Grogin 2021-03-16