0001127602-20-008220.txt : 20200227
0001127602-20-008220.hdr.sgml : 20200227
20200227205454
ACCESSION NUMBER: 0001127602-20-008220
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200226
FILED AS OF DATE: 20200227
DATE AS OF CHANGE: 20200227
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Grogin Jeffrey
CENTRAL INDEX KEY: 0001440697
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38727
FILM NUMBER: 20665224
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
2020-02-26
0001745916
PennyMac Financial Services, Inc.
PFSI
0001440697
Grogin Jeffrey
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
Chief Enterprise Ops Officer
Common Stock
2020-02-26
4
A
0
4817
0
A
19628
D
Common Stock
33193
I
JBG Children's Trust utd 12/31/2000
Common Stock
22129
I
MJG Children's Trust utd 12/31/2000
Common Stock
453655
I
The Grogin Living Trust dtd 12-19-01
Common Stock
9025
I
Grogin Giving Fund
Nonstatutory Stock Option (Right to Buy)
35.03
2020-02-26
4
A
0
17824
0
A
2021-02-26
2030-02-25
Common Stock
17824
17824
D
Nonstatutory Stock Option (Right to Buy)
24.40
2019-03-09
2028-03-08
Common Stock
17204
17204
D
Nonstatutory Stock Option (Right to Buy)
22.92
2020-03-15
2029-03-14
Common Stock
18057
18057
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
The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.
The reported amount consists of 19,628 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 17,824 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2021, 2022 and 2023, subject to the Reporting Person's continued 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 March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 18,057 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 15, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date.
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.
/s/ Kisha Parker, attorney-in-fact for Mr. Grogin
2020-02-27