SEC Form 4 · accession 0001127602-18-011173
PNMAC Holdings, Inc. · PFSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew Botein
Director
Period of report
Mar 9, 2018
Accepted (ET)
Mar 12, 2018 · 4:14 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 StockF1,F2 | Mar 9, 2018 | S | 860 | $24.70 | D | 23,881 | D | |
| Class A Common StockF3,F4 | Mar 9, 2018 | A | 3,975 | $0.00 | A | 27,856 | D | |
| Class A Common StockF1,F5 | Mar 12, 2018 | S | 1,235 | $24.45 | D | 26,621 | 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, LLCF6,F7 | — | holding | — | — | — | Nov 5, 2013 | — | Class A Common Stock | 818,552 | 818,552 | D |
Explanation of responses
- F1These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
- F2The reported amount consists of 7,667 restricted stock units and 16,214 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.
- F3The Reporting Person was granted 3,975 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.
- F4The reported amount consists of 11,642 restricted stock units and 16,214 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.
- F5The reported amount consists of 11,642 restricted stock units and 14,979 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.
- F6Pursuant 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.
- F7N/A