0001127602-16-045748.txt : 20160309
0001127602-16-045748.hdr.sgml : 20160309
20160309171222
ACCESSION NUMBER: 0001127602-16-045748
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160307
FILED AS OF DATE: 20160309
DATE AS OF CHANGE: 20160309
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: Hendry Gregory L
CENTRAL INDEX KEY: 0001486334
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35916
FILM NUMBER: 161495313
MAIL ADDRESS:
STREET 1: 3300 LAKE AVENUE
CITY: ALTADENA
STATE: CA
ZIP: 91001
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2016-03-07
0001568669
PENNYMAC FINANCIAL SERVICES, INC.
PFSI
0001486334
Hendry Gregory L
C/O PENNYMAC FINANCIAL SERVICES, INC.
6101 CONDOR DRIVE
MOORPARK
CA
93021
1
MD, Chief Accounting Officer
Class A Common Stock
2016-03-07
4
A
0
1307
0
A
4100
D
Nonstatutory Stock Option (Right to Buy)
11.28
2016-03-07
4
A
0
3530
0
A
2017-03-07
2026-03-06
Class A Common Stock
3530
3530
D
Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC
Class A Common Stock
27394
27394
D
Nonstatutory Stock Option (Right to Buy)
21.03
2014-06-13
2023-06-12
Class A Common Stock
2018
2018
D
Nonstatutory Stock Option (Right to Buy)
17.26
2015-02-26
2024-02-25
Class A Common Stock
3077
3077
D
Nonstatutory Stock Option (Right to Buy)
17.52
2016-03-03
2025-03-02
Class A Common Stock
3032
3032
D
The Reporting Person was granted 1,307 restricted stock units (RSUs). The RSUs, which will vest in three equal annual installments beginning on the first anniversary of the grant date, are to be settled in an equal number of Class A Shares of Common Stock upon vesting.
The reported amount consists of 2,962 restricted stock units (RSUs) and 1,138 shares of Class A Common Stock. The RSUs are to be settled in an equal number of shares of Class A Common Stock upon vesting.
This nonstatutory stock option to purchase 3,530 shares of Class A 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.
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 the Issuer on a one-for-one basis, subject to customary conversion rate adjustments.
This nonstatutory stock option to purchase 2,018 shares of Class A 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 3,077 shares of Class A 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 3,032 shares of Class A 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 continued service through each date.
/s/ Derek W. Stark, attorney-in-fact for Mr. Hendry
2016-03-09