0001127602-18-023092.txt : 20180711
0001127602-18-023092.hdr.sgml : 20180711
20180711124741
ACCESSION NUMBER: 0001127602-18-023092
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180710
FILED AS OF DATE: 20180711
DATE AS OF CHANGE: 20180711
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: 18948434
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
2018-07-10
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
2018-07-10
4
M
0
10000
0
A
35893
D
Class A Common Stock
2018-07-10
4
S
0
10000
19.856
D
25893
D
Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC
2018-07-10
4
M
0
10000
0
D
2013-11-05
Class A Common Stock
10000
768552
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 $19.75 to $20.00. 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
2018-07-11