0001127602-18-010788.txt : 20180308 0001127602-18-010788.hdr.sgml : 20180308 20180308182749 ACCESSION NUMBER: 0001127602-18-010788 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180307 FILED AS OF DATE: 20180308 DATE AS OF CHANGE: 20180308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hendry Gregory L CENTRAL INDEX KEY: 0001486334 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 18677901 MAIL ADDRESS: STREET 1: 3300 LAKE AVENUE CITY: ALTADENA STATE: CA ZIP: 91001 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 2018-03-07 0001568669 PENNYMAC FINANCIAL SERVICES, INC. PFSI 0001486334 Hendry Gregory L C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 MD, Chief Accounting Officer Class A Common Stock 2018-03-07 4 S 0 230 24.30 D 7055 D Class A Common Stock 2018-03-07 4 S 0 182 24.30 D 6873 D Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC Class A Common Stock 27394 27394 D Nonstatutory Stock Option (Right to Buy) 21.03 2014-06-13 2023-06-12 Class A Common Stock 2018 2018 D Nonstatutory Stock Option (Right to Buy) 17.26 2015-02-26 2024-02-25 Class A Common Stock 3077 3077 D Nonstatutory Stock Option (Right to Buy) 17.52 2016-03-03 2025-03-02 Class A Common Stock 3032 3032 D Nonstatutory Stock Option (Right to Buy) 11.28 2017-03-07 2026-03-06 Class A Common Stock 3530 3530 D Nonstatutory Stock Option (Right to Buy) 18.05 2018-03-06 2027-03-05 Class A Common Stock 2943 2943 D These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan. The reported amount consists of 1,838 restricted share units and 5,217 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. The reported amount consists of 1,838 restricted share units and 5,035 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 the Issuer on a one-for-one basis, subject to customary conversion rate adjustments. This nonstatutory stock option to purchase 2,018 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 3,077 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 3,032 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 3,530 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 2,943 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. /s/ Derek W. Stark, attorney-in-fact for Mr. Hendry 2018-03-08