0001127602-14-018370.txt : 20140521
0001127602-14-018370.hdr.sgml : 20140521
20140521182152
ACCESSION NUMBER: 0001127602-14-018370
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140519
FILED AS OF DATE: 20140521
DATE AS OF CHANGE: 20140521
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
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: 14861818
MAIL ADDRESS:
STREET 1: 164 DEAN ROAD
CITY: BROOKLINE
STATE: MA
ZIP: 02445
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2014-05-19
0001568669
PENNYMAC FINANCIAL SERVICES, INC.
PFSI
0001469142
Botein Matthew
C/O PENNYMAC FINANCIAL SERVICES, INC.
6101 CONDOR DRIVE
MOORPARK
CA
93021
1
Class A Common Stock
2014-05-19
4
S
0
3200
15.6313
D
27659
D
Class A Common Stock
2014-05-20
4
S
0
3800
15.4424
D
23859
D
Class A Common Stock
2014-05-21
4
S
0
5700
15.5915
D
18159
D
Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC
2013-11-05
Class A Common Stock
918552
918552
D
These common shares of beneficial interest were sold pursuant to a 10b5-1 plan.
The price reported is the weighted average price of multiple transactions at prices ranging from $15.435 to $15.78. 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 shares of beneficial interest and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions at prices ranging from $15.36 to $15.565. 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 shares of beneficial interest and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions at prices ranging from $15.485 to $15.69. 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 shares of beneficial interest and the prices at which the transactions were effected.
The reported amount consists of 4,459 restricted share units and 13,700 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting.
Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments, from and after the closing of PennyMac Financial Services, Inc.'s initial public offering, and after the expiration of a lock-up agreement.
N/A
/s/ Derek W. Stark, attorney-in-fact for Mr. Botein
2014-05-21