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