0001127602-14-014831.txt : 20140418 0001127602-14-014831.hdr.sgml : 20140418 20140418192843 ACCESSION NUMBER: 0001127602-14-014831 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140416 FILED AS OF DATE: 20140418 DATE AS OF CHANGE: 20140418 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: Botein Matthew CENTRAL INDEX KEY: 0001469142 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 14772638 MAIL ADDRESS: STREET 1: 164 DEAN ROAD CITY: BROOKLINE STATE: MA ZIP: 02445 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-04-16 0001568669 PENNYMAC FINANCIAL SERVICES, INC. PFSI 0001469142 Botein Matthew C/O PENNYMAC FINANCIAL SERVICES, INC. 6101 CONDOR DRIVE MOORPARK CA 93021 1 Class A Common Stock 2014-04-16 4 S 0 4900 16.4905 D 66459 D Class A Common Stock 2014-04-17 4 S 0 6200 16.3436 D 60259 D Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC 2013-11-05 Class A Common Stock 1118552 1118552 D These common shares of beneficial interest were sold pursuant to a 10b5-1 plan. The price reported is the weighted average price of multiple transactions at prices ranging from $16.39 to $16.62. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of common shares of beneficial interest and the prices at which the transactions were effected. The price reported is the weighted average price of multiple transactions at prices ranging from $16.20 to $16.44. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of common shares of beneficial interest and the prices at which the transactions were effected. The reported amount consists of 4,459 restricted share units and 55,800 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. 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, from and after the closing of PennyMac Financial Services, Inc.'s initial public offering, and after the expiration of a lock-up agreement. N/A /s/ Jeffrey P. Grogin, attorney-in-fact for Mr. Botein 2014-04-18