SEC Form 4 · accession 0001127602-15-032304
PNMAC Holdings, Inc. · PFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David M Walker
Officer — Chief Credit Officer
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 4:48 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 19, 2015 | M | 5,000 | — | A | 6,168 | I | The Walker Trust 2002 Dated February 13, 2002, As Amended |
| Class A Common StockF2,F3 | Nov 19, 2015 | S | 5,000 | $16.0828 | D | 1,168 | I | The Walker Trust 2002 Dated February 13, 2002, As Amended |
| Class A Common StockF1,F2 | Nov 20, 2015 | M | 5,000 | — | A | 6,168 | I | The Walker Trust 2002 Dated February 13, 2002, As Amended |
| Class A Common StockF2,F4 | Nov 20, 2015 | S | 5,000 | $16.2265 | D | 1,168 | I | The Walker Trust 2002 Dated February 13, 2002, As Amended |
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 19, 2015 | M | 5,000 | D | — | — | Class A Common Stock | 5,000 | 923,055 | I |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF1 | — | Nov 20, 2015 | M | 5,000 | D | — | — | Class A Common Stock | 5,000 | 918,055 | 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 $16.01 to $16.19 The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of common shares of beneficial interest and the prices at which the transactions were effected.
- F4The price reported is the weighted average price of multiple transactions ranging from $16.05 to $16.40. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of common shares of beneficial interest and the prices at which the transactions were effected.