SEC Form 4/A · accession 0001127602-15-012960
PNMAC Holdings, Inc. · PFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Steven Richard Bailey
Officer — Chief Operations Officer
Period of report
Mar 3, 2015
Accepted (ET)
Mar 31, 2015 · 6:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001568669
Table I — non-derivative securities
No Table I lines on this filing.
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)F1,F2 | $17.52 | Mar 3, 2015 | A | 23,829 | A | Mar 3, 2016 | Mar 2, 2025 | Class A Common Stock | 23,829 | 23,829 | D |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF3 | — | holding | — | — | — | — | — | Class A Common Stock | 643,668 | 643,668 | D |
| Nonstatutory Stock Option (Right to Buy)F4 | $21.03 | holding | — | — | — | Jun 13, 2014 | Jun 12, 2023 | Class A Common Stock | 15,882 | 15,882 | D |
| Nonstatutory Stock Option (Right to Buy)F5 | $17.26 | holding | — | — | — | Feb 26, 2015 | Feb 25, 2024 | Class A Common Stock | 28,216 | 28,216 | D |
Explanation of responses
- F1The original Form 4 filed on March 3, 2015 inadvertently overstated the number of nonstatutory stock options acquired by the Reporting Person by 3,718 shares.? Accordingly, this Form 4/A corrects and reduces the number of derivative securities beneficially owned by the Reporting Person following the reported transactions by the same amount.
- F2This nonstatutory stock option to purchase 23,829 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 28,216 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 committed service through each date.