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