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Share Name | Share Symbol | Market | Type |
---|---|---|---|
PennyMac Financial Services Inc | NYSE:PFSI | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
-0.79 | -0.85% | 92.10 | 93.55 | 91.892 | 92.51 | 269,038 | 23:44:25 |
1. Name and Address of Reporting Person * KURLAND STANFORD L | 2. Issuer Name and Ticker or Trading Symbol PennyMac Financial Services, Inc. [ PFSI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Chairman |
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security (Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/17/2019 | S | 15000 (1) | D | $32.2546 (2) | 255695 | I | 1998 Kurland Revocable Trust Dtd 1/14/98 | ||
Common Stock | 10/18/2019 | S | 15000 (1) | D | $32.7413 (3) | 240695 | I | 1998 Kurland Revocable Trust Dtd 1/14/98 | ||
Common Stock | 10/21/2019 | S | 15000 (1) | D | $33.1829 (4) | 225695 | I | 1998 Kurland Revocable Trust Dtd 1/14/98 | ||
Common Stock | 8314990 | I | Kurland Family Investments, LLC |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Nonstatutory Stock Option (Right to Buy) | $21.03 | 6/13/2014 | 6/12/2023 | Common Stock | 107656 (5) | 107656 | D | ||||||||
Nonstatutory Stock Option (Right to Buy) | $17.26 | 2/26/2015 | 2/25/2024 | Common Stock | 191098 (6) | 191098 | D | ||||||||
Nonstatutory Stock Option (Right to Buy) | $17.52 | 3/3/2016 | 3/2/2025 | Common Stock | 161529 (7) | 161529 | D | ||||||||
Nonstatutory Stock Option (Right to Buy) | $11.28 | 3/7/2017 | 3/6/2026 | Common Stock | 188086 (8) | 188086 | D | ||||||||
Nonstatutory Stock Option (Right to Buy) | $18.05 | 3/6/2018 | 3/5/2027 | Common Stock | 138504 (9) | 138504 | D | ||||||||
Nonstatutory Stock Option (Right to Buy) | $24.40 | 3/9/2019 | 3/8/2028 | Common Stock | 102459 (10) | 102459 | D | ||||||||
Nonstatutory Stock Option (Right to Buy) | $22.92 | 3/15/2020 | 3/14/2029 | Common Stock | 107849 (11) | 107849 | D |
Reporting Owners |
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Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
KURLAND STANFORD L C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE, CA 91361 |
X | Executive Chairman |
Signatures |
||
/s/ Kisha Parker, attorney-in-fact for Mr. Kurland | 10/21/2019 | |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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