SEC Form 5 · accession 0001127602-17-003423
PNMAC Holdings, Inc. · PFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Grogin
Officer — CALO
Period of report
Dec 31, 2016
Accepted (ET)
Feb 1, 2017 · 7:21 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF1,F2 | — | Jun 1, 2015 | G | 707,580 | D | — | — | Class A Common Stock | 707,580 | 0 | D |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF1 | — | Jun 1, 2015 | G | 707,580 | A | — | — | Class A Common Stock | 707,580 | 707,580 | I |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF3,F1 | — | Dec 30, 2016 | G | 11,064 | D | — | — | Class A Common Stock | 11,064 | 22,129 | I |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF1 | — | holding | — | — | — | — | — | Class A Common Stock | 33,193 | 33,193 | I |
| 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 |
| Nonstatutory Stock Option (Right to Buy)F6 | $17.52 | holding | — | — | — | Mar 3, 2016 | Mar 2, 2025 | Class A Common Stock | 23,829 | 23,829 | D |
| Nonstatutory Stock Option (Right to Buy)F7 | $11.28 | holding | — | — | — | Mar 7, 2017 | Mar 6, 2026 | Class A Common Stock | 27,771 | 27,771 | D |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF1 | — | holding | — | — | — | — | — | Class A Common Stock | 11,064 | 11,064 | 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.
- F2The Reporting Person transferred 707,580 Class A Units of Private National Mortgage Acceptance Company, LLC to The Grogin Living Trust dtd 12-19-01, which was not timely reported due to administrative error.
- F3The Reporting Person gifted 11,064.27 Class A Units of Private National Mortgage Acceptance Company, LLC from the MJG Children's Trust utd 12/31/2000 to his adult daughter.
- 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 continued 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 continued service through each date.
- F6This 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.
- F7This nonstatutory stock option to purchase 27,771 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 7, 2017, 2018 and 2019, subject to the Reporting Person's committed service through each date.