0001127602-20-008224.txt : 20200227
0001127602-20-008224.hdr.sgml : 20200227
20200227210234
ACCESSION NUMBER: 0001127602-20-008224
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200226
FILED AS OF DATE: 20200227
DATE AS OF CHANGE: 20200227
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Jones Doug
CENTRAL INDEX KEY: 0001544302
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38727
FILM NUMBER: 20665260
MAIL ADDRESS:
STREET 1: C/O PENNYMAC
STREET 2: 6101 CONDOR DRIVE, UPPER LEVEL
CITY: MOORPARK
STATE: CA
ZIP: 93021
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PennyMac Financial Services, Inc.
CENTRAL INDEX KEY: 0001745916
STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162]
IRS NUMBER: 831098934
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
FORMER COMPANY:
FORMER CONFORMED NAME: New PennyMac Financial Services, Inc.
DATE OF NAME CHANGE: 20180709
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2020-02-26
0001745916
PennyMac Financial Services, Inc.
PFSI
0001544302
Jones Doug
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
Chief Mtge Bnkg Ofcr
Common Stock
2020-02-26
4
A
0
8207
0
A
41412
D
Common Stock
711192
I
The Jones Family Trust
Nonstatutory Stock Option (Right to Buy)
35.03
2020-02-26
4
A
0
30366
0
A
2021-02-26
2030-02-25
Common Stock
30366
30366
D
Nonstatutory Stock Option (Right to Buy)
21.03
2014-06-13
2023-06-12
Common Stock
15882
15882
D
Nonstatutory Stock Option (Right to Buy)
17.26
2015-02-26
2024-02-25
Common Stock
28216
28216
D
Nonstatutory Stock Option (Right to Buy)
17.52
2016-03-03
2025-03-02
Common Stock
23829
23829
D
Nonstatutory Stock Option (Right to Buy)
11.28
2017-03-07
2026-03-06
Common Stock
27771
27771
D
Nonstatutory Stock Option (Right to Buy)
18.05
2018-03-06
2027-03-05
Common Stock
34626
34626
D
Nonstatutory Stock Option (Right to Buy)
24.40
2019-03-09
2028-03-08
Common Stock
26467
26467
D
Nonstatutory Stock Option (Right to Buy)
22.92
2020-03-15
2029-03-14
Common Stock
27744
27744
D
The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.
The reported amount consists of 30,979 restricted stock units and 10,433 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
This nonstatutory stock option to purchase 30,366 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 15,882 shares of 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 28,216 shares of 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 23,829 shares of 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 committed service through each date.
This nonstatutory stock option to purchase 27,771 shares of 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.
This nonstatutory stock option to purchase 34,626 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's committed service through each date.
This nonstatutory stock option to purchase 26,467 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 9, 2019, 2020 and 2021, subject to the Reporting Person's committed service through each date.
This nonstatutory stock option to purchase 27,744 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 15, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date.
/s/ Kisha Parker, attorney-in-fact for Mr. Jones
2020-02-27