0001127602-19-034474.txt : 20191206 0001127602-19-034474.hdr.sgml : 20191206 20191206184504 ACCESSION NUMBER: 0001127602-19-034474 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191206 FILED AS OF DATE: 20191206 DATE AS OF CHANGE: 20191206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jones Doug CENTRAL INDEX KEY: 0001544302 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38727 FILM NUMBER: 191274035 MAIL ADDRESS: STREET 1: C/O PENNYMAC STREET 2: 6101 CONDOR DRIVE, UPPER LEVEL CITY: MOORPARK STATE: CA ZIP: 93021 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PennyMac Financial Services, Inc. CENTRAL INDEX KEY: 0001745916 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 831098934 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 FORMER COMPANY: FORMER CONFORMED NAME: New PennyMac Financial Services, Inc. DATE OF NAME CHANGE: 20180709 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2019-12-06 0001745916 PennyMac Financial Services, Inc. PFSI 0001544302 Jones Doug C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 Chief Mtge Bnkg Ofcr Common Stock 2019-12-06 4 S 0 9000 33.9663 D 33205 D Common Stock 712767 I The Jones Family Trust Nonstatutory Stock Option (Right to Buy) 21.03 2014-06-13 2023-06-12 Common Stock 15882 15882 D Nonstatutory Stock Option (Right to Buy) 17.26 2015-02-26 2024-02-25 Common Stock 28216 28216 D Nonstatutory Stock Option (Right to Buy) 17.52 2016-03-03 2025-03-02 Common Stock 23829 23829 D Nonstatutory Stock Option (Right to Buy) 11.28 2017-03-07 2026-03-06 Common Stock 27771 27771 D Nonstatutory Stock Option (Right to Buy) 18.05 2018-03-06 2027-03-05 Common Stock 34626 34626 D Nonstatutory Stock Option (Right to Buy) 24.40 2019-03-09 2028-03-08 Common Stock 26467 26467 D The price reported is the weighted average price of multiple transactions ranging from $33.88 to $34.12. 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 Stock and the prices at which the transactions were effected. The reported amount consists of 22,772 restricted stock units and 10,433 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. This nonstatutory stock option to purchase 15,882 shares of 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 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 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 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 34,626 shares of 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 26,467 shares of 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 Mr. Jones 2019-12-06