SEC Form 4 · accession 0001127602-17-025340

PNMAC Holdings, Inc. · PFSI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Aug 8, 2017

Accepted (ET)

Aug 9, 2017 · 4:10 pm EDT

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 Stock^F1,F2	Aug 8, 2017	A	1,485	$17.55	A	47,918	D

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, LLC^F3,F4	—	holding	—	—	—	Nov 5, 2013	—	Class A Common Stock	331,052	331,052	D
Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC^F3,F4	—	holding	—	—	—	Nov 5, 2013	—	Class A Common Stock	407,031	407,031	I

F1The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of the Issuer during the second quarter of 2017. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934.
F2The reported amount consists of 12,028 restricted stock units and 35,890 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock 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