0001127602-18-018944.txt : 20180525
0001127602-18-018944.hdr.sgml : 20180525
20180525133404
ACCESSION NUMBER: 0001127602-18-018944
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180524
FILED AS OF DATE: 20180525
DATE AS OF CHANGE: 20180525
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCCALLION ANNE
CENTRAL INDEX KEY: 0001232611
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35916
FILM NUMBER: 18860943
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: 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
2018-05-24
0001568669
PENNYMAC FINANCIAL SERVICES, INC.
PFSI
0001232611
MCCALLION ANNE
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
1
Chief Enterprise Ops Officer
Class A Common Stock
2018-05-24
4
M
0
5000
0
A
5000
I
The McCallion Family Trust dated 12/21/98
Class A Common Stock
2018-05-24
4
S
0
5000
20.46
D
0
I
The McCallion Family Trust dated 12/21/98
Class A Common Stock
34920
D
Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC
2018-05-24
4
M
0
5000
0
D
Class A Common Stock
5000
545720
I
The McCallion Family Trust dated 12/21/98
Nonstatutory Stock Option (Right to Buy)
21.03
2014-06-13
2023-06-12
Class A Common Stock
15882
15882
D
Nonstatutory Stock Option (Right to Buy)
17.26
2015-02-26
2024-02-25
Class A Common Stock
28216
28216
D
Nonstatutory Stock Option (Right to Buy)
17.52
2016-03-03
2025-03-02
Class A Common Stock
23829
23829
D
Nonstatutory Stock Option (Right to Buy)
11.28
2017-03-07
2026-03-06
Class A Common Stock
27771
27771
D
Nonstatutory Stock Option (Right to Buy)
18.05
2018-03-06
2027-03-05
Class A Common Stock
22506
22506
D
Nonstatutory Stock Option (Right to Buy)
24.40
2019-03-09
2028-03-08
Class A Common Stock
17204
17204
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 the Issuer on a one-for-one basis, subject to customary conversion rate adjustments.
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 $20.30 to $20.625. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.
The reported amount consists of 12,883 restricted stock units and 22,037 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.
This nonstatutory stock option to purchase 15,882 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 28,216 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 23,829 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date.
This nonstatutory stock option to purchase 27,771 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 7, 2017, 2018 and 2019, subject to the Reporting Person's committed service through each date.
This nonstatutory stock option to purchase 22,506 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's committed service through each date.
This nonstatutory stock option to purchase 17,204 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 9, 2019, 2020 and 2021, subject to the Reporting Person's committed service through each date.
/s/ Kisha Parker, attorney-in-fact for Ms. McCallion
2018-05-25
EX-24
2
doc1.txt
POWER OF ATTORNEY (PUBLIC): POWER OF ATTORNEY
LIMITED POWER OF ATTORNEY FOR
SECTION 16 REPORTING OBLIGATIONS
Know all by these presents, that the undersigned hereby makes, constitutes
and appoints each of Derek W. Stark, Kisha Parker, Myra Stevens and Devra
Lindgren, each acting individually, as the undersigned's true and lawful
attorney-in-fact, with full power and authority as hereinafter described on
behalf of and in the name, place and stead of the undersigned to:
(1) prepare, execute, acknowledge, deliver and file Forms 3, 4, and
5 (including any amendments thereto) with respect to the securities of
PennyMac Financial Services, Inc., a Delaware corporation (the ?Company?),
with the United States Securities and Exchange Commission, any national
securities exchanges and the Company, as considered necessary or advisable
under Section 16(a) of the Securities Exchange Act of 1934 and the rules and
regulations promulgated thereunder, as amended from time to time
(the ?Exchange Act?);
(2) seek or obtain, as the undersigned's representative and on the
undersigned's behalf,information on transactions in the Company's securities
from any third party, including brokers, employee benefit plan administrators
and trustees, and the undersigned hereby authorizes any such person to
release any such information to the undersigned and approves and ratifies
any such release of information; and
(3) perform any and all other acts which in the discretion of such
attorney-in-fact are necessary or desirable for and on behalf of the
undersigned in connection with the foregoing.
The undersigned acknowledges that:
(1) this Limited Power of Attorney authorizes, but does not require, such
attorney-in-fact to act in their discretion on information provided to such
attorney-in-fact without independent verification of such information;
(2) any documents prepared and/or executed by such attorney-in-fact on
behalf of the undersigned pursuant to this Limited Power of Attorney will
be in such form and will contain such information and disclosure as such
attorney-in-fact, in his or her discretion, deems necessary or desirable;
(3) neither the Company nor such attorney-in-fact assumes (i) any
liability for the undersigned's responsibility to comply with the requirement
of the Exchange Act, (ii) any liability of the undersigned for any failure to
comply with such requirements, or (iii) any obligation or liability of the
undersigned for profit disgorgement under Section 16(b) of the Exchange Act; and
(4) this Limited Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's obligations under the
Exchange Act, including without limitation the reporting requirements under
Section 16 of the Exchange Act.
The undersigned hereby gives and grants the foregoing attorney-in-
fact full power and authority to do and perform all and every act and
thing whatsoever requisite, necessary or appropriate to be done in and
about the foregoing matters as fully to all intents and purposes as the
undersigned might or could do if present, hereby ratifying all that such
attorney-in-fact of, for and on behalf of the undersigned, shall lawfully
do or cause to be done by virtue of this Limited Power of Attorney.
This Limited Power of Attorney shall remain in full force and effect
until revoked by the undersigned in a signed writing delivered to such
attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Limited Power of
Attorney to be executed as of this 16h day of May, 2018.
By: /s/ Anne D. McCallion
Name: Anne D. McCallion
A notary public or other officer completing this certificate verifies
only the identity of the individual who signed the document to which
this certificate is attached and not the truthfulness, accuracy or
validity of that document.
State of California }
County of Ventura }
On May 16, 2018, before me, Angela Everest, Notary Public,
personally appeared Anne D. McCallion who proved to me on the basis
of satisfactory evidence to be the person whose name is subscribed
to the within instrument and acknowledged to me that he executed
the same in his authorized capacity, and that by his signature on
the instrument the person, or the entity upon behalf of which the
person acted, executed the instrument.
I certify under PENALTY OF PERJURY under the laws of the State of
California that the foregoing paragraph is true and correct.
WITNESS my hand and official seal.
(Seal)
Angela Everest
Commission # 2118643
Notary Public - California
Ventura County
My Commission Expires: Jul 6, 2019
/s/ Angela Everest
(Signature of notarial officer)