0001127602-14-017600.txt : 20140514 0001127602-14-017600.hdr.sgml : 20140514 20140514195703 ACCESSION NUMBER: 0001127602-14-017600 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140512 FILED AS OF DATE: 20140514 DATE AS OF CHANGE: 20140514 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: MAZZELLA JOSEPH F CENTRAL INDEX KEY: 0001196045 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-MOTOR VEHICLES & MOTOR VEHICLE PARTS & SUPPLIES [5010] STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 14843358 MAIL ADDRESS: STREET 1: C/O HIGHFIELDS CAPITAL MANAGEMENT LP STREET 2: 200 CLARENDON STREET CITY: BOSTON STATE: MA ZIP: 02116 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-05-12 0001568669 PENNYMAC FINANCIAL SERVICES, INC. PFSI 0001196045 MAZZELLA JOSEPH F C/O PENNYMAC FINANCIAL SERVICES, INC. 6101 CONDOR DRIVE MOORPARK CA 93021 1 Class A Common Stock 2014-05-12 4 A 0 1280 16.45 A 5739 D The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of the Issuer during the first quarter of 2014. This transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934. The reported amount consists of 4,459 restricted share units and 1,280 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. /s/ Derek W. Stark, attorney-in-fact for Mr. Mazzella 2014-05-14