0001140361-14-007566.txt : 20140214 0001140361-14-007566.hdr.sgml : 20140214 20140214131513 ACCESSION NUMBER: 0001140361-14-007566 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 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: BlackRock Mortgage Ventures, LLC CENTRAL INDEX KEY: 0001576419 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 14613899 BUSINESS ADDRESS: STREET 1: 55 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10055 BUSINESS PHONE: 212-810-8957 MAIL ADDRESS: STREET 1: 55 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10055 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLACKROCK FINANCIAL MANAGEMENT INC/DE CENTRAL INDEX KEY: 0001086363 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 14613900 BUSINESS ADDRESS: STREET 1: 100 BELLEVUE PARKWAY CITY: WILMINGTON STATE: DE ZIP: 19809 BUSINESS PHONE: 800-441-7762 MAIL ADDRESS: STREET 1: 100 BELLEVUE PARKWAY CITY: WILMINGTON STATE: DE ZIP: 19809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BlackRock Holdco 2, Inc. CENTRAL INDEX KEY: 0001060021 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 14613901 BUSINESS ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127545560 MAIL ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: BlackRock Merger Sub, Inc. DATE OF NAME CHANGE: 20060929 FORMER NAME: FORMER CONFORMED NAME: BLACKROCK INC /NY DATE OF NAME CHANGE: 19990510 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BlackRock Inc. CENTRAL INDEX KEY: 0001364742 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 0226 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 14613902 BUSINESS ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-810-5300 MAIL ADDRESS: STREET 1: 40 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: BlackRock, Inc. DATE OF NAME CHANGE: 20060929 FORMER NAME: FORMER CONFORMED NAME: New BlackRock, Inc. DATE OF NAME CHANGE: 20060601 5 1 doc1.xml FORM 5 X0306 5 2013-12-31 0 0 0 0001568669 PENNYMAC FINANCIAL SERVICES, INC. PFSI 0001364742 BlackRock Inc. 55 EAST 52ND STREET NEW YORK NY 10055 1 0 1 0 0001060021 BlackRock Holdco 2, Inc. 55 EAST 52ND STREET NEW YORK NY 10055 0 0 1 0 0001086363 BLACKROCK FINANCIAL MANAGEMENT INC/DE 55 EAST 52ND STREET NEW YORK NY 10055 0 0 1 0 0001576419 BlackRock Mortgage Ventures, LLC 55 EAST 52ND STREET NEW YORK NY 10055 0 0 1 0 Class A Units of Private National Mortgage Acceptance Co LLC 2013-06-28 5 G 0 6110000 0 A Class A Common Stock 6110000 13760647 I See Footnote These securities are directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. are indirect beneficial owners of the reported securities. 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. /s/ Daniel Waltcher 2014-02-14