0001127602-20-017608.txt : 20200521
0001127602-20-017608.hdr.sgml : 20200521
20200521175536
ACCESSION NUMBER: 0001127602-20-017608
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200519
FILED AS OF DATE: 20200521
DATE AS OF CHANGE: 20200521
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Walker David M
CENTRAL INDEX KEY: 0001468934
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38727
FILM NUMBER: 20903123
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
2020-05-19
0001745916
PennyMac Financial Services, Inc.
PFSI
0001468934
Walker David M
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
Chief Risk Officer
Common Stock
2020-05-19
4
S
0
2600
29.3292
D
360485
I
The Walker Trust 2002 Dated February 13, 2002, As Amended
Common Stock
2020-05-19
4
S
0
7400
30.3861
D
353085
I
The Walker Trust 2002 Dated February 13, 2002, As Amended
Common Stock
2020-05-20
4
S
0
10000
31.7085
D
343085
I
The Walker Trust 2002 Dated February 13, 2002, As Amended
Common Stock
52744
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
17313
17313
D
Nonstatutory Stock Option (Right to Buy)
24.40
2019-03-09
2028-03-08
Common Stock
13233
13233
D
Nonstatutory Stock Option (Right to Buy)
22.92
2020-03-15
2029-03-14
Common Stock
13879
13879
D
Nonstatutory Stock Option (Right to Buy)
35.03
2021-02-26
2030-02-25
Common Stock
13863
13863
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 $28.68 to $29.655. 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 $29.76 to $30.75. 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 $31.32 to $32.12. 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 9,212 restricted stock units and 43,532 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 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 17,313 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 13,233 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.
This nonstatutory stock option to purchase 13,879 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 13,863 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/ Derek W. Stark, attorney-in-fact for Mr. Walker
2020-05-21