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