0001127602-17-024837.txt : 20170803
0001127602-17-024837.hdr.sgml : 20170803
20170803122208
ACCESSION NUMBER: 0001127602-17-024837
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170801
FILED AS OF DATE: 20170803
DATE AS OF CHANGE: 20170803
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Tozer Theodore W
CENTRAL INDEX KEY: 0001712649
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35916
FILM NUMBER: 171003972
MAIL ADDRESS:
STREET 1: C/O PENNYMAC
STREET 2: 3043 TOWNSGATE ROAD
CITY: WESTLAKE VILLAGE
STATE: CA
ZIP: 91361
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
3
1
form3.xml
PRIMARY DOCUMENT
X0206
3
2017-08-01
0
0001568669
PENNYMAC FINANCIAL SERVICES, INC.
PFSI
0001712649
Tozer Theodore W
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
Class A Common Stock
3248
D
The reported amount consists of 3,248 restricted stock units (RSUs) granted to the Reporting Person on August 1, 2017 in connection with his service as an independent director of the Issuer. Each RSU represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement at the time of vesting. The RSUs will vest as to one-third (1/3) on each of the first, second and third anniversaries of the grant date, subject to continued service through each vesting date.
/s/ Kisha Parker, attorney-in-fact for Mr. Tozer
2017-08-03
EX-24
2
doc1.txt
POWER OF ATTORNEY (PUBLIC):
LIMITED POWER OF ATTORNEY FOR
SECTION 16 REPORTING OBLIGATIONS
Know all by these presents, that the undersigned hereby makes, constitutes
and appoints each of Jeffrey P. Grogin, Derek W. Stark and Kisha Parker, each
acting individually, as the undersigned's true and lawful attorney-in-fact,
with full power and authority as hereinafter described on behalf of and in the
name, place and stead of the undersigned to:
(1) prepare, execute, acknowledge, deliver and file Forms 3, 4, and
5 (including any amendments thereto) with respect to the securities of
PennyMac Financial Services, Inc., a Delaware corporation
(the ?Company?), with the United States Securities and Exchange
Commission, any national securities exchanges and the Company, as
considered necessary or advisable under Section 16(a) of the Securities
Exchange Act of 1934 and the rules and regulations promulgated thereunder,
as amended from time to time (the ?Exchange Act?);
(2) seek or obtain, as the undersigned's representative and on the
undersigned's behalf,information on transactions in the Company's securities
from any third party, including brokers, employee benefit plan administrators
and trustees, and the undersigned hereby authorizes any such person to
release any such information to the undersigned and approves and ratifies
any such release of information; and
(3) perform any and all other acts which in the discretion of such
attorney-in-fact are necessary or desirable for and on behalf of the
undersigned in connection with the foregoing.
The undersigned acknowledges that:
(1) this Limited Power of Attorney authorizes, but does not require, such
attorney-in-fact to act in their discretion on information provided to such
attorney-in-fact without independent verification of such information;
(2) any documents prepared and/or executed by such attorney-in-fact on
behalf of the undersigned pursuant to this Limited Power of Attorney will
be in such form and will contain such information and disclosure as such
attorney-in-fact, in his or her discretion, deems necessary or desirable;
(3) neither the Company nor such attorney-in-fact assumes (i) any
liability for the undersigned's responsibility to comply with the requirement
of the Exchange Act, (ii) any liability of the undersigned for any failure to
comply with such requirements, or (iii) any obligation or liability of the
undersigned for profit disgorgement under Section 16(b) of the Exchange Act; and
(4) this Limited Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's obligations under the
Exchange Act, including without limitation the reporting requirements under
Section 16 of the Exchange Act.
The undersigned hereby gives and grants the foregoing attorney-in-
fact full power and authority to do and perform all and every act and
thing whatsoever requisite, necessary or appropriate to be done in and
about the foregoing matters as fully to all intents and purposes as the
undersigned might or could do if present, hereby ratifying all that such
attorney-in-fact of, for and on behalf of the undersigned, shall lawfully
do or cause to be done by virtue of this Limited Power of Attorney.
This Limited Power of Attorney shall remain in full force and effect
until revoked by the undersigned in a signed writing delivered to such
attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Limited Power of
Attorney to be executed as of this 24th day of July, 2017.
By: /s/ Theodore W. Tozer
Name: Theodore W. Tozer
Notary Signature & Seal to be Placed Here:
/s/ Ameera Naseer
(Seal)
AMEERA NASEER
Notary Public - North Carolina
Mecklenburg County
My Commission Expires Jun 12, 2021