0001127602-17-024802.txt : 20170802
0001127602-17-024802.hdr.sgml : 20170802
20170802180048
ACCESSION NUMBER: 0001127602-17-024802
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170801
FILED AS OF DATE: 20170802
DATE AS OF CHANGE: 20170802
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: 171001513
MAIL ADDRESS:
STREET 1: 141 FRONT STREET
CITY: HAMILTON
STATE: D0
ZIP: HM19
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: 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
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2017-08-01
0001568669
PENNYMAC FINANCIAL SERVICES, INC.
PFSI
0001469142
Botein Matthew
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
Class A Common Stock
2017-08-01
4
S
0
2841
17.35
D
24741
D
Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC
2013-11-05
Class A Common Stock
918552
918552
D
These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
The reported amount consists of 12,028 restricted stock units and 12,713 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock 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
2017-08-02