0001127602-21-010882.txt : 20210316 0001127602-21-010882.hdr.sgml : 20210316 20210316184429 ACCESSION NUMBER: 0001127602-21-010882 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210315 FILED AS OF DATE: 20210316 DATE AS OF CHANGE: 20210316 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: 21747618 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 2021-03-15 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 2021-03-15 4 F 0 896 65.70 D 37550 D Common Stock 86878 I The Walker Trust 2002 Dated February 13, 2002, As Amended 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) 59.68 2020-12-14 2030-12-13 Common Stock 5402 5402 D Nonstatutory Stock Option (Right to Buy) 35.03 2021-02-26 2030-02-25 Common Stock 13863 13863 D Nonstatutory Stock Option (Right to Buy) 58.85 2022-02-25 2031-02-24 Common Stock 7391 7391 D Represents shares withheld for taxes upon vesting of restricted stock units. The reported amount consists of 6,048 restricted stock units and 31,502 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 5,402 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in one-third increments on each of December 14, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse 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. This nonstatutory stock option to purchase 7,391 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date. /s/ Derek W. Stark, attorney-in-fact for Mr. Walker 2021-03-16