0001104659-13-039773.txt : 20130509 0001104659-13-039773.hdr.sgml : 20130509 20130509204016 ACCESSION NUMBER: 0001104659-13-039773 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130509 FILED AS OF DATE: 20130509 DATE AS OF CHANGE: 20130509 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: KURLAND STANFORD L CENTRAL INDEX KEY: 0001181595 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 13830803 MAIL ADDRESS: STREET 1: C/O PENNYMAC, 6101 CONDOR DRIVE STREET 2: UPPER LEVEL CITY: MOORPARK STATE: CA ZIP: 93021 3 1 a3.xml 3 X0206 3 2013-05-09 0 0001568669 PENNYMAC FINANCIAL SERVICES, INC. PFSI 0001181595 KURLAND STANFORD L C/O PENNYMAC FINANCIAL SERVICES, INC. 6101 CONDOR DRIVE MOORPARK CA 93021 1 1 1 0 Chairman and CEO Class B Common Stock 1 D Class B Common Stock 1 I See footnote Cl A Units of Private Nat'l Mortgage Acceptance Co., LLC Class A Common Stock 284348 D Cl A Units of Private Nat'l Mortgage Acceptance Co., LLC Class A Common Stock 8314990 I See footnote These securities are held by Kurland Family Investments, LLC, of which Mr. Kurland is the sole manager. Mr. Kurland disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. 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. Exhibit 24.1 Power of Attorney /s/ Jeffrey P. Grogin, attorney-in-fact 2013-05-09 EX-24.1 2 ex-24d1.htm EX-24.1

Exhibit 24.1

 

LIMITED POWER OF ATTORNEY FOR

SECTION 16 REPORTING OBLIGATIONS

 

May 8, 2013

 

Know all by these presents, that the undersigned hereby makes, constitutes and appoints each of Jeffrey P. Grogin and Derek W. Stark, each acting individually, as the undersigned’s true and lawful attorney-in-fact, with full power and authority as hereinafter described on behalf of and in the name, place and stead of the undersigned to:

 

(1)           prepare, execute, acknowledge, deliver and file Forms 3, 4, and 5 (including any amendments thereto) with respect to the securities of PennyMac Financial Services, Inc., a Delaware corporation (the “Company”), with the United States Securities and Exchange Commission, any national securities exchanges and the Company, as considered necessary or advisable under Section 16(a) of the Securities Exchange Act of 1934 and the rules and regulations promulgated thereunder, as amended from time to time (the “Exchange Act”);

 

(2)           seek or obtain, as the undersigned’s representative and on the undersigned’s behalf, information on transactions in the Company’s securities from any third party, including brokers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such person to release any such information to the undersigned and approves and ratifies any such release of information; and

 

(3)           perform any and all other acts which in the discretion of such attorney-in-fact are necessary or desirable for and on behalf of the undersigned in connection with the foregoing.

 

The undersigned acknowledges that:

 

(1)           this Limited Power of Attorney authorizes, but does not require, such attorney-in-fact to act in their discretion on information provided to such attorney-in-fact without independent verification of such information;

 

(2)           any documents prepared and/or executed by such attorney-in-fact on behalf of the undersigned pursuant to this Limited Power of Attorney will be in such form and will contain such information and disclosure as such attorney-in-fact, in his or her discretion, deems necessary or desirable;

 

(3)           neither the Company nor such attorney-in-fact assumes (i) any liability for the undersigned’s responsibility to comply with the requirement of the Exchange Act, (ii) any liability of the undersigned for any failure to comply with such requirements, or (iii) any obligation or liability of the undersigned for profit disgorgement under Section 16(b) of the Exchange Act; and

 


 

(4)           this Limited Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned’s obligations under the Exchange Act, including without limitation the reporting requirements under Section 16 of the Exchange Act.

 

The undersigned hereby gives and grants the foregoing attorney-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite, necessary or appropriate to be done in and about the foregoing matters as fully to all intents and purposes as the undersigned might or could do if present, hereby ratifying all that such attorney-in-fact of, for and on behalf of the undersigned, shall lawfully do or cause to be done by virtue of this Limited Power of Attorney.

 

This Limited Power of Attorney shall remain in full force and effect until revoked by the undersigned in a signed writing delivered to such attorney-in-fact.

 

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IN WITNESS WHEREOF, the undersigned has caused this Limited Power of Attorney to be executed as of the date first set forth above.

 

 

 

/s/ Stanford L. Kurland

 

Stanford L. Kurland