0001127602-18-022715.txt : 20180703 0001127602-18-022715.hdr.sgml : 20180703 20180703175044 ACCESSION NUMBER: 0001127602-18-022715 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180703 FILED AS OF DATE: 20180703 DATE AS OF CHANGE: 20180703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Botein Matthew CENTRAL INDEX KEY: 0001469142 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 18938727 MAIL ADDRESS: STREET 1: 141 FRONT STREET CITY: HAMILTON STATE: D0 ZIP: HM19 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PENNYMAC FINANCIAL SERVICES, INC. CENTRAL INDEX KEY: 0001568669 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 800882793 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2018-07-03 0001568669 PENNYMAC FINANCIAL SERVICES, INC. PFSI 0001469142 Botein Matthew C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 Class A Common Stock 2018-07-03 4 M 0 10000 0 A 35893 D Class A Common Stock 2018-07-03 4 S 0 10000 19.7515 D 25893 D Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC 2018-07-03 4 M 0 10000 0 D 2013-11-05 Class A Common Stock 10000 778552 D Represents shares of Class A Common Stock received upon the exchange of Class A Units of Private National Mortgage Acceptance Company, LLC. 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. 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. These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan. The price reported is the weighted average price of multiple transactions ranging from $19.65 to $19.95. 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. 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. N/A /s/ Kisha Parker, attorney-in-fact for Mr. Botein 2018-07-03