SEC Form 4 · accession 0001127602-15-010286
PNMAC Holdings, Inc. · PFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Stanley Perotti
Officer — Chief Asset & Liability Mgt Of
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 12:52 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001568669
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | holding | — | — | — | 1,261 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonstatutory Stock Option (Right to Buy)F2 | $17.52 | Mar 3, 2015 | A | 16,481 | A | Mar 3, 2016 | Mar 2, 2025 | Class A Common Stock | 16,481 | 16,481 | D |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF3 | — | holding | — | — | — | — | — | Class A Common Stock | 326,506 | 326,506 | D |
| Nonstatutory Stock Option (Right to Buy)F4 | $21.03 | holding | — | — | — | Jun 13, 2014 | Jun 12, 2023 | Class A Common Stock | 2,523 | 2,523 | D |
| Nonstatutory Stock Option (Right to Buy)F5 | $17.26 | holding | — | — | — | Feb 26, 2015 | Feb 25, 2024 | Class A Common Stock | 16,881 | 16,881 | D |
Explanation of responses
- F1The reported amount consists of 945 restricted stock units (RSUs) and 316 common shares of beneficial interest. The RSUs are to be settled in an equal number of common shares of beneficial interest upon vesting.
- F2This nonstatutory stock option to purchase 16,481 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 committed service through each date.
- F3Pursuant 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.
- F4This nonstatutory stock option to purchase 15,882 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 committed service through each date.
- F5This nonstatutory stock option to purchase 16,881 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.