0001104659-13-042388.txt : 20130516 0001104659-13-042388.hdr.sgml : 20130516 20130516152646 ACCESSION NUMBER: 0001104659-13-042388 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130514 FILED AS OF DATE: 20130516 DATE AS OF CHANGE: 20130516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Botein Matthew CENTRAL INDEX KEY: 0001469142 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35916 FILM NUMBER: 13851009 MAIL ADDRESS: STREET 1: 164 DEAN ROAD CITY: BROOKLINE STATE: MA ZIP: 02445 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PENNYMAC FINANCIAL SERVICES, INC. CENTRAL INDEX KEY: 0001568669 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 800882793 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6101 CONDOR DRIVE CITY: MOORPARK STATE: CA ZIP: 93021 BUSINESS PHONE: (818) 224-7442 MAIL ADDRESS: STREET 1: 6101 CONDOR DRIVE CITY: MOORPARK STATE: CA ZIP: 93021 4 1 a4.xml 4 X0306 4 2013-05-14 0 0001568669 PENNYMAC FINANCIAL SERVICES, INC. PFSI 0001469142 Botein Matthew C/O PENNYMAC FINANCIAL SERVICES, INC. 6101 CONDOR DRIVE MOORPARK CA 93021 1 0 0 0 Class A Common Stock 2013-05-14 4 A 0 4459 0.00 A 4459 D Mr. Botein was granted 4,459 Restricted Stock Units on May 14, 2013 by the Board of Directors of PennyMac Financial Services, Inc. (the "Company") in connection with his service as an independent director of the Company. Each Restricted Stock Unit represents a contingent right to receive 1 share of the Company's Class A Common Stock upon settlement at the time of vesting. One-third (1/3) of the Restricted Stock Units vest on each of the first, second and third anniversaries of the grant date, subject to continued service through each vesting date. /s/ Jeffrey P. Grogin, attorney-in-fact 2013-05-16