SEC Form 4 · accession 0001127602-18-014758

PNMAC Holdings, Inc. · PFSI

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

Reporting owner

Vandad Fartaj

Officer — Chief Capital Markets Officer

Period of report

Apr 16, 2018

Accepted (ET)

Apr 17, 2018 · 4:46 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,F3	Apr 16, 2018	S	7,593	$21.591	D	45,562	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, LLC^F4	—	holding	—	—	—	—	—	Class A Common Stock	845,254	845,254	I
Nonstatutory Stock Option (Right to Buy)^F5	$21.03	holding	—	—	—	Jun 13, 2014	Jun 12, 2023	Class A Common Stock	15,882	15,882	D
Nonstatutory Stock Option (Right to Buy)^F6	$17.26	holding	—	—	—	Feb 26, 2015	Feb 25, 2024	Class A Common Stock	28,216	28,216	D
Nonstatutory Stock Option (Right to Buy)^F7	$17.52	holding	—	—	—	Mar 3, 2016	Mar 2, 2025	Class A Common Stock	23,829	23,829	D
Nonstatutory Stock Option (Right to Buy)^F8	$11.28	holding	—	—	—	Mar 7, 2017	Mar 6, 2026	Class A Common Stock	27,771	27,771	D
Nonstatutory Stock Option (Right to Buy)^F9	$18.05	holding	—	—	—	Mar 6, 2018	Mar 5, 2027	Class A Common Stock	27,700	27,700	D
Nonstatutory Stock Option (Right to Buy)^F10	$24.40	holding	—	—	—	Mar 9, 2019	Mar 8, 2028	Class A Common Stock	21,174	21,174	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 21,174 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 9, 2019, 2020 and 2021, subject to the Reporting Person's committed service through each date.
F2The price reported is the weighted average price of multiple transactions ranging from $21.425 to $21.95. 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.
F3The reported amount consists of 15,856 restricted stock units and 29,706 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.
F4Pursuant 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.
F5This 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.
F6This 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.
F7This 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.
F8This 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.
F9This nonstatutory stock option to purchase 27,700 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.