0001127602-20-010141.txt : 20200310 0001127602-20-010141.hdr.sgml : 20200310 20200310190414 ACCESSION NUMBER: 0001127602-20-010141 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200306 FILED AS OF DATE: 20200310 DATE AS OF CHANGE: 20200310 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: 20703442 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 2020-03-06 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 2020-03-06 4 F 0 1087 37.42 D 18541 D Common Stock 2020-03-09 4 F 0 794 37.50 D 17747 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) 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 Nonstatutory Stock Option (Right to Buy) 35.03 2021-02-26 2030-02-25 Common Stock 17824 17824 D Represents shares withheld for taxes upon vesting of restricted stock units. The reported amount consists of 16,627 restricted stock units and 1,914 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. The reported amount consists of 14,333 restricted stock units and 3,414 shares of Common Stock. 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 17,204 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. 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. /s/ Kisha Parker, attorney-in-fact for Mr. Grogin 2020-03-10