-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TKj1TiInYGd7vZ/tnNwJ30FNRw0ogcCdiHqpooXsqklmmTOG7QdAzJ5iB51umSfa KvQuScq02mdlXuQMkxK1nw== 0000357235-09-000394.txt : 20090910 0000357235-09-000394.hdr.sgml : 20090910 20090910155214 ACCESSION NUMBER: 0000357235-09-000394 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20090910 DATE AS OF CHANGE: 20090910 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEGG MASON CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0000820330 IRS NUMBER: 521268629 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 100 LIGHT STREET CITY: BALTIMORE STATE: MD ZIP: 21202 MAIL ADDRESS: STREET 1: 100 LIGHT STREET CITY: BALTIMORE STATE: MD ZIP: 21202 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PennyMac Mortgage Investment Trust CENTRAL INDEX KEY: 0001464423 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] IRS NUMBER: 270186273 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-84954 FILM NUMBER: 091062859 BUSINESS ADDRESS: STREET 1: 27001 AGOURA ROAD STREET 2: THIRD FLOOR CITY: CALABASAS STATE: CA ZIP: 91301 BUSINESS PHONE: (818) 224-7442 MAIL ADDRESS: STREET 1: 27001 AGOURA ROAD STREET 2: THIRD FLOOR CITY: CALABASAS STATE: CA ZIP: 91301 SC 13G 1 pmt.txt LMCM Securities and Exchange Commission Washington, D. C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Pennymac Mortgage Investment Trust Common Stock CUSIP Number 70931T103 Date of Event Which Requires Filing of this Statement: August 31, 2009 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) CUSIP No. 70931T103 1) Name of reporting person: Legg Mason Capital Management, Inc. Tax Identification No.: 52-1268629 2) Check the appropriate box if a member of a group: a) X b) n/a 3) SEC use only 4) Place of organization: Maryland Number of shares beneficially owned by each reporting person with: 5) Sole voting power: - 0 - 6) Shared voting power: 1,155,550 7) Sole dispositive power: - 0 - 8) Shared dispositive power: 1,195,550 9) Aggregate amount beneficially owned by each reporting person: 1,195,550 10) Check if the aggregate amount in row (9) excludes certain shares n/a 11) Percent of class represented by amount in row (9): 7.14% 12) Type of reporting person: CO IA CUSIP No. 70931T103 1) Name of reporting person: LMM LLC Tax Identification No.: 52-2204753 2) Check the appropriate box if a member of a group: a) X b) n/a 3) SEC use only 4) Place of organization: Delaware Number of shares beneficially owned by each reporting person with: 5) Sole voting power: - 0 - 6) Shared voting power: 612,300 7) Sole dispositive power: - 0 - 8) Shared dispositive power: 612,300 9) Aggregate amount beneficially owned by each reporting person: 612,300 10) Check if the aggregate amount in row (9) excludes certain shares n/a 11) Percent of class represented by amount in row (9): 3.66% 12) Type of reporting person: IA, OO _______________________________________________________________________ Item 1a) Name of issuer: Pennymac Mortgage Investment Trust Item 1b) Address of issuer's principal executive offices: 27001 Agoura Road Third Floor Calabasas CA 91301 Item 2a) Name of person filing: Legg Mason Capital Management, Inc. LMM LLC Item 2b) Address of principal business office: 100 Light Street Baltimore, Maryland 21202 Item 2c) Citizenship: Maryland, Delaware Item 2d) Title of class of securities: Common Stock Item 2e) CUSIP number: 70931T103 Item 3) If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a)[ ]Broker or dealer under Section 15 of the Act. (b)[ ]Bank as defined in Section 3(a) (6) of the Act. (c)[ ]Insurance Company as defined in Section 3(a) (6) of the Act. (d)[ ]Investment Company registered under Section 8 of the Investment Company Act. (e)[ ]Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. (f)[ ]Employee Benefit Plan, Pension Fund which is subject to ERISA of 1974 or Endowment Fund; see 240.13d-1(b)(ii)(F). (g)[ ]Parent holding company, in accordance with 240.13d-1(b)(ii)(G). (h)[X]Group, in accordance with 240.13d-1(b)(1)(ii)(H). Item 4) Ownership: (a) Amount beneficially owned: 1,807,850 (b) Percent of Class: 10.80% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: - 0 - (ii) shared power to vote or to direct the vote: 1,767,850 (iii) sole power to dispose or to direct the disposition of: - 0 - (iv) shared power to dispose or to direct the disposition of: 1,807,850 Item 5) Ownership of Five Percent or less of a class: n/a Item 6) Ownership of more than Five Percent on behalf of another person: The interest of one account, Legg Mason Special Investment Trust, Inc. an investment company registered under the Investment Company Act of 1940 and managed by Legg Mason Capital Management, Inc., amounted to 950,000 shares or 5.68% of the total outstanding shares. Item 7) Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company: n/a Item 8) Identification and classification of members of the group: Legg Mason Capital Management, Inc. - Investment Adviser LMM LLC - Investment Adviser Item 9) Notice of dissolution of group: n/a Item 10) Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Signature ----------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. ------------------------------- Date - September 10, 2009 Legg Mason Capital Management, Inc. By _________________________________________________ /s/ Nicholas C. Milano, Chief Compliance Officer LMM LLC By _________________________________________________ /s/ Nicholas C. Milano, Chief Compliance Officer EX-99.1 2 pmtjoint.txt LMCM This Joint Filing Agreement confirms the agreement by and amoung the undersigned that the Schedule 13G is filed on behalf of each of the reporting person(s) identified below. Date - September 10, 2009 Legg Mason Capital Management, Inc. By _________________________________________________ /s/ Nicholas C. Milano, Chief Compliance Officer LMM LLC By _________________________________________________ /s/ Nicholas C. Milano, Chief Compliance Officer Legg Mason Special Investment Trust, Inc. By _________________________________________________ /s/ Gregory T. Merz, Vice President -----END PRIVACY-ENHANCED MESSAGE-----