0001140361-13-046479.txt : 20131217
0001140361-13-046479.hdr.sgml : 20131217
20131217141757
ACCESSION NUMBER: 0001140361-13-046479
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131213
FILED AS OF DATE: 20131217
DATE AS OF CHANGE: 20131217
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: 6101 CONDOR DRIVE
CITY: MOORPARK
STATE: CA
ZIP: 93021
BUSINESS PHONE: (818) 224-7442
MAIL ADDRESS:
STREET 1: 6101 CONDOR DRIVE
CITY: MOORPARK
STATE: CA
ZIP: 93021
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BlackRock Mortgage Ventures, LLC
CENTRAL INDEX KEY: 0001576419
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35916
FILM NUMBER: 131281495
BUSINESS ADDRESS:
STREET 1: 55 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10055
BUSINESS PHONE: 212-810-8957
MAIL ADDRESS:
STREET 1: 55 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10055
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BLACKROCK FINANCIAL MANAGEMENT INC/DE
CENTRAL INDEX KEY: 0001086363
STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35916
FILM NUMBER: 131281496
BUSINESS ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
BUSINESS PHONE: 800-441-7762
MAIL ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
CITY: WILMINGTON
STATE: DE
ZIP: 19809
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BlackRock Holdco 2, Inc.
CENTRAL INDEX KEY: 0001060021
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35916
FILM NUMBER: 131281497
BUSINESS ADDRESS:
STREET 1: 40 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2127545560
MAIL ADDRESS:
STREET 1: 40 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: BlackRock Merger Sub, Inc.
DATE OF NAME CHANGE: 20060929
FORMER NAME:
FORMER CONFORMED NAME: BLACKROCK INC /NY
DATE OF NAME CHANGE: 19990510
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BlackRock Inc.
CENTRAL INDEX KEY: 0001364742
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0226
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35916
FILM NUMBER: 131281498
BUSINESS ADDRESS:
STREET 1: 40 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-810-5300
MAIL ADDRESS:
STREET 1: 40 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: BlackRock, Inc.
DATE OF NAME CHANGE: 20060929
FORMER NAME:
FORMER CONFORMED NAME: New BlackRock, Inc.
DATE OF NAME CHANGE: 20060601
4
1
doc1.xml
FORM 4
X0306
4
2013-12-13
0
0001568669
PENNYMAC FINANCIAL SERVICES, INC.
PFSI
0001364742
BlackRock Inc.
55 EAST 52ND STREET
NEW YORK
NY
10055
1
0
1
0
0001060021
BlackRock Holdco 2, Inc.
55 EAST 52ND STREET
NEW YORK
NY
10055
0
0
1
0
0001086363
BLACKROCK FINANCIAL MANAGEMENT INC/DE
55 EAST 52ND STREET
NEW YORK
NY
10055
0
0
1
0
0001576419
BlackRock Mortgage Ventures, LLC
55 EAST 52ND STREET
NEW YORK
NY
10055
0
0
1
0
Class A Common Stock
2013-12-13
4
C
0
1800000
0
A
1800000
I
See Footnote
Class B Common Stock
1
I
See Footnote
Class A Units of Private National Mortgage Acceptance Compan
0
2013-12-13
4
C
0
1800000
0
D
Class A Common Stock
1800000
13760647
I
See Footnote
These securities are directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. are indirect beneficial owners of the reported securities.
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.
/s/ Daniel Waltcher
2013-12-17