0001127602-17-004842.txt : 20170209
0001127602-17-004842.hdr.sgml : 20170209
20170209181734
ACCESSION NUMBER: 0001127602-17-004842
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170207
FILED AS OF DATE: 20170209
DATE AS OF CHANGE: 20170209
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: 17588893
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
2017-02-07
0001568669
PENNYMAC FINANCIAL SERVICES, INC.
PFSI
0001196045
MAZZELLA JOSEPH F
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
Class A Common Stock
2017-02-07
4
A
0
1583
16.10
A
39476
D
Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC
2013-11-05
Class A Common Stock
331052
331052
D
Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC
2013-11-05
Class A Common Stock
407031
407031
I
Mazzella Family Irrevocable Trust
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 fourth quarter of 2016. This transaction is exempt under Rule 16b-3 of the Securities Act of 1934.
The reported amount consists of 12,572 restricted stock units and 26,904 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock 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 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, and after the expiration of a lock-up agreement.
N/A
/s/ Derek W. Stark, attorney-in-fact for Mr. Mazzella
2017-02-09