0001127602-17-025340.txt : 20170809 0001127602-17-025340.hdr.sgml : 20170809 20170809161030 ACCESSION NUMBER: 0001127602-17-025340 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170808 FILED AS OF DATE: 20170809 DATE AS OF CHANGE: 20170809 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: 171017981 MAIL ADDRESS: STREET 1: C/O HIGHFIELDS CAPITAL MANAGEMENT LP STREET 2: 200 CLARENDON STREET CITY: BOSTON STATE: MA ZIP: 02116 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: 3043 TOWNSGATE ROAD CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 BUSINESS PHONE: (818) 224-7442 MAIL ADDRESS: STREET 1: 3043 TOWNSGATE ROAD CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2017-08-08 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 2017-08-08 4 A 0 1485 17.55 A 47918 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 second quarter of 2017. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934. The reported amount consists of 12,028 restricted stock units and 35,890 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 2017-08-09