SEC Form 4 · accession 0001127602-15-029998
PNMAC Holdings, Inc. · PFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Doug Jones
Officer — Ch Institutional Mrtg Bnkg Off
Period of report
Oct 29, 2015
Accepted (ET)
Nov 2, 2015 · 7:29 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 | Oct 29, 2015 | M | 12,000 | — | A | 12,000 | I | The Jones Family Trust |
| Class A Common StockF2,F3 | Oct 29, 2015 | S | 3,000 | $16.6608 | D | 9,000 | I | The Jones Family Trust |
| Class A Common StockF2 | Oct 30, 2015 | S | 3,000 | $17.01 | D | 6,000 | I | The Jones Family Trust |
| Class A Common StockF2,F4 | Nov 2, 2015 | S | 3,000 | $16.5577 | D | 3,000 | I | The Jones Family Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF1 | — | Oct 29, 2015 | M | 12,000 | D | — | — | Class A Common Stock | 12,000 | 781,767 | I |
Explanation of responses
- F1Pursuant 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.
- F2These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
- F3The price reported is the weighted average price of multiple transactions ranging from $16.41 to $16.915 The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected.
- F4The price reported is the weighted average price of multiple transactions ranging from $16.54 to $16.59. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected.