SEC Form 4 · accession 0001127602-15-030674
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
Nov 4, 2015
Accepted (ET)
Nov 6, 2015 · 6:02 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 | Nov 4, 2015 | M | 12,000 | — | A | 12,000 | I | The Jones Family Trust |
| Class A Common StockF2 | Nov 4, 2015 | S | 3,000 | $16.58 | D | 9,000 | I | The Jones Family Trust |
| Class A Common StockF2 | Nov 5, 2015 | S | 3,000 | $16.80 | D | 6,000 | I | The Jones Family Trust |
| Class A Common StockF2 | Nov 6, 2015 | S | 3,000 | $16.07 | 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 | — | Nov 4, 2015 | M | 12,000 | D | — | — | Class A Common Stock | 12,000 | 769,767 | 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.