0001127602-20-013755.txt : 20200415
0001127602-20-013755.hdr.sgml : 20200415
20200415183949
ACCESSION NUMBER: 0001127602-20-013755
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200413
FILED AS OF DATE: 20200415
DATE AS OF CHANGE: 20200415
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MCCALLION ANNE
CENTRAL INDEX KEY: 0001232611
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38727
FILM NUMBER: 20794701
MAIL ADDRESS:
STREET 1: C/O PENNYMAC, 6101 CONDOR DRIVE
STREET 2: UPPER LEVEL
CITY: MOORPARK
STATE: CA
ZIP: 93021
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PennyMac Financial Services, Inc.
CENTRAL INDEX KEY: 0001745916
STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162]
IRS NUMBER: 831098934
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
FORMER COMPANY:
FORMER CONFORMED NAME: New PennyMac Financial Services, Inc.
DATE OF NAME CHANGE: 20180709
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2020-04-13
0001745916
PennyMac Financial Services, Inc.
PFSI
0001232611
MCCALLION ANNE
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
Common Stock
2020-04-13
4
S
0
4600
25.9424
D
224006
I
The McCallion Family Trust dated 12/21/98
Common Stock
2020-04-13
4
S
0
400
26.57
D
223606
I
The McCallion Family Trust dated 12/21/98
Common Stock
2020-04-13
4
S
0
11100
25.7574
D
212506
I
The McCallion Family Trust dated 12/21/98
Common Stock
2020-04-13
4
S
0
3900
26.3473
D
208606
I
The McCallion Family Trust dated 12/21/98
Common Stock
2020-04-14
4
S
0
3200
26.0662
D
205406
I
The McCallion Family Trust dated 12/21/98
Common Stock
2020-04-14
4
S
0
1800
26.8372
D
203606
I
The McCallion Family Trust dated 12/21/98
Common Stock
2020-04-14
4
S
0
3900
26.2267
D
199706
I
The McCallion Family Trust dated 12/21/98
Common Stock
2020-04-14
4
S
0
1100
26.8791
D
198606
I
The McCallion Family Trust dated 12/21/98
Common Stock
5205
D
Nonstatutory Stock Option (Right to Buy)
21.03
2014-06-13
2023-06-12
Common Stock
15882
15882
D
Nonstatutory Stock Option (Right to Buy)
17.26
2015-02-26
2024-02-25
Common Stock
28216
28216
D
Nonstatutory Stock Option (Right to Buy)
17.52
2016-03-03
2025-03-02
Common Stock
23829
23829
D
Nonstatutory Stock Option (Right to Buy)
11.28
2017-03-07
2026-03-06
Common Stock
27771
27771
D
Nonstatutory Stock Option (Right to Buy)
18.05
2018-03-06
2027-03-05
Common Stock
22506
22506
D
Nonstatutory Stock Option (Right to Buy)
24.40
2019-03-09
2028-03-08
Common Stock
17204
17204
D
These shares of Common Stock were sold pursuant to a 10b5-1 plan.
The price reported is the weighted average price of multiple transactions ranging from $25.51 to $26.39. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions ranging from $26.52 to $26.61. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions ranging from $25.18 to $26.17. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions ranging from $26.18 to $26.64. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions ranging from $25.715 to $26.67. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions ranging from $26.76 to $26.93. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions ranging from $25.815 to $26.80. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions ranging from $26.815 to $26.945. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
The reported amount consists of 5,205 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
This nonstatutory stock option to purchase 15,882 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 28,216 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 23,829 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date.
This nonstatutory stock option to purchase 27,771 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 7, 2017, 2018 and 2019, subject to the Reporting Person's committed service through each date.
This nonstatutory stock option to purchase 22,506 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's committed service through each date.
This nonstatutory stock option to purchase 17,204 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 9, 2019, 2020 and 2021, subject to the Reporting Person's committed service through each date.
/s/ Derek W. Stark, attorney-in-fact for Ms. McCallion
2020-04-15