0001127602-22-011867.txt : 20220411
0001127602-22-011867.hdr.sgml : 20220411
20220411201411
ACCESSION NUMBER: 0001127602-22-011867
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220401
FILED AS OF DATE: 20220411
DATE AS OF CHANGE: 20220411
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Follette James
CENTRAL INDEX KEY: 0001912289
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38727
FILM NUMBER: 22820915
MAIL ADDRESS:
STREET 1: PENNYMAC FINANCIAL SERVICES, INC.
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: 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
3
1
form3.xml
PRIMARY DOCUMENT
X0206
3
2022-04-01
0
0001745916
PennyMac Financial Services, Inc.
PFSI
0001912289
Follette James
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
Chief Mort Fulfillment Off.
Common Stock
44095
D
Nonstatutory Stock Option (Right to Buy)
22.92
2020-03-15
2029-03-14
Common Stock
5839
D
Nonstatutory Stock Option (Right to Buy)
35.03
2021-02-26
2030-02-25
Common Stock
15404
D
Nonstatutory Stock Option (Right to Buy)
58.85
2022-02-25
2031-02-24
Common Stock
12935
D
Nonstatutory Stock Option (Right to Buy)
57.10
2023-02-23
2032-02-22
Common Stock
27645
D
Nonstatutory Stock Option (Right to Buy)
59.68
2020-12-14
2030-12-13
Common Stock
20259
D
The reported amount consists of 13,596 restricted stock units and 30,499 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 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 committed service through each date.
This nonstatutory stock option to purchase 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 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 23, 2023, 2024 and 2025, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in one-third increments on each of December 14, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse date.
/s/ Derek W. Stark, attorney-in-fact for Mr. Follette
2022-04-11
EX-24
2
doc1.txt
POWER OF ATTORNEY (PUBLIC): LIMITED POWER OF ATTORNEY
LIMITED POWER OF ATTORNEY FOR
SECTION 16 REPORTING OBLIGATIONS
Know all by these presents, that the undersigned hereby makes,
constitutes and appoints each of Derek W. Stark, Charles Szurgot, Lisa
McKee and Devra Lindgren, 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 1st day of April, 2022.
By: /s/ James Follette
Name: James Follette