SEC Form 4 · accession 0001127602-17-010742
PNMAC Holdings, Inc. · PFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew Botein
Director
Period of report
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 10:46 am 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,F2 | Mar 6, 2017 | A | 5,373 | $0.00 | A | 27,582 | D |
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, LLCF3,F4 | — | holding | — | — | — | Nov 5, 2013 | — | Class A Common Stock | 918,552 | 918,552 | D |
Explanation of responses
- F1The Reporting Person was granted 5,373 restricted stock units in connection with his service as a director. The restricted stock units, which vest in three equal installments beginning on the first anniversary of the grant date, are to be settled in an equal number of shares of Class A Common Stock upon vesting.
- F2The reported amount consists of 17,945 restricted share units and 9,637 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting.
- 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 PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments, from and after the closing of PennyMac Financial Services, Inc.'s initial public offering, and after the expiration of a lock-up agreement.
- F4N/A