SEC Form 4 · accession 0001127602-18-005181
PNMAC Holdings, Inc. · PFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne McCallion
Officer — Chief Enterprise Ops Officer
Period of report
Apr 21, 2017
Accepted (ET)
Feb 12, 2018 · 4:47 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,F2,F3 | Apr 21, 2017 | S | 1,524 | $16.60 | D | 10,020 | D | |
| Class A Common StockF4,F5 | Feb 8, 2018 | M | 5,000 | $0.00 | A | 5,000 | I | The McCallion Family Trust dated 12/21/98 |
| Class A Common StockF1,F6 | Feb 8, 2018 | S | 5,000 | $21.30 | D | 0 | I | The McCallion Family Trust dated 12/21/98 |
| Class A Common StockF4,F5 | Feb 9, 2018 | M | 5,000 | $0.00 | A | 5,000 | I | The McCallion Family Trust dated 12/21/98 |
| Class A Common StockF1,F7 | Feb 9, 2018 | S | 5,000 | $22.00 | D | 0 | I | The McCallion Family Trust dated 12/21/98 |
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, LLCF5,F4 | — | Feb 8, 2018 | M | 5,000 | D | — | — | Class A Common Stock | 5,000 | 605,720 | I |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCF5,F4 | — | Feb 9, 2018 | M | 5,000 | D | — | — | Class A Common Stock | 5,000 | 600,720 | I |
| Nonstatutory Stock Option (Right to Buy)F8 | $21.03 | holding | — | — | — | Jun 13, 2014 | Jun 12, 2023 | Class A Common Stock | 15,882 | 15,882 | D |
| Nonstatutory Stock Option (Right to Buy)F9 | $17.26 | holding | — | — | — | Feb 26, 2015 | Feb 25, 2024 | Class A Common Stock | 28,216 | 28,216 | D |
| Nonstatutory Stock Option (Right to Buy)F10 | $17.52 | holding | — | — | — | Mar 3, 2016 | Mar 2, 2025 | Class A Common Stock | 23,829 | 23,829 | D |
| Nonstatutory Stock Option (Right to Buy)F11 | $11.28 | holding | — | — | — | Mar 7, 2017 | Mar 6, 2026 | Class A Common Stock | 27,771 | 27,771 | D |
| Nonstatutory Stock Option (Right to Buy)F12 | $18.05 | holding | — | — | — | Mar 6, 2018 | Mar 5, 2027 | Class A Common Stock | 22,506 | 22,506 | D |
Explanation of responses
- F1These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
- F10This 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.
- F11This 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.
- F12This nonstatutory stock option to purchase 22,506 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's committed service through each date.
- F2The sale of these shares was not reported timely due to an administrative error.
- F3Following the transaction on April 21, 2017, the reported amount consisted of 9,002 restricted stock units and 1,018 shares of Class A Common Stock. As of February 9, 2018, the reporting person owned 9,002 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.
- F4Represents shares of Class A Common Stock received upon the exchange of Class A Units of Private National Mortgage Acceptance Company, LLC.
- F5Pursuant 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.
- F6The price reported is the weighted average price of multiple transactions ranging from $21.00 to $21.70. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.
- F7The price reported is the weighted average price of multiple transactions ranging from $21.75 to $22.20. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.
- F8This 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.
- F9This 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.