Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ENVESTNET, INC.ENV · Entity 85670 | 10% owner | December 17, 2018 | December 20, 2018 |
| KEY ENERGY SERVICES INCNA · Entity 11887 | 10% owner | March 06, 2020 | March 16, 2020 |
| PNMAC Holdings, Inc.PFSI · Entity 162615 | Director · 10% owner | November 01, 2018 | November 06, 2018 |
| PennyMac Financial Services, Inc.PFSI · Entity 4100 | 10% owner | February 11, 2020 | February 13, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ENVESTNET, INC.
Report date December 17, 2018 · Filed December 20, 2018
Jointly reported with BlackRock Holdco 2, Inc., BLACKROCK FINANCIAL MANAGEMENT INC/DE
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | IndirectSee footnote | 2,355,816 |
Reported balance
Holding disclosure · report date 2018-12-17 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,355,816 F1: 2,355,816 shares of Common stock are beneficially owned indirectly by each of the Reporting Persons and directly held by a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly owned subsidiary of BlackRock, Inc. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $65.16 · Expires 2022-12-20 | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2018-12-17 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: The warrant to acquire 471,163 shares of Common stock is beneficially owned indirectly by each of the Reporting Persons and directly held by a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly owned subsidiary of BlackRock, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: 2,355,816 shares of Common stock are beneficially owned indirectly by each of the Reporting Persons and directly held by a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly owned subsidiary of BlackRock, Inc.
F2: The warrant to acquire 471,163 shares of Common stock is beneficially owned indirectly by each of the Reporting Persons and directly held by a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly owned subsidiary of BlackRock, Inc.
KEY ENERGY SERVICES INC
Report date March 06, 2020 · Filed March 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSEE FOOTNOTE | 2,245,994 |
Reported balance
Holding disclosure · report date 2020-03-06 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,245,994 F1: The registered holders of the shares of common stock reported in this Form 3 are the following funds and accounts under management by investment adviser subsidiaries of BlackRock, Inc: (i) TCP Waterman CLO, LLC, (ii) Tennenbaum Energy Opportuntities Co, LLC, (iii) Tennenbaum Enhanced Yield Operating I, LLC, (iv) Tennenbaum Senior Loan Fund V, LLC, and (v) Tennenbaum Senior Loan Operating III, LLC (collectively, the "Direct Holders"). None of the Direct Holders beneficially owns in excess of 5% of the outstanding common stock of the Issuer. BlackRock, Inc. is the ultimate indirect parent holding company of the investment advisors of the Direct Holders and may be deemed to have indirect beneficial ownership of such shares. F2: (Continued from footnote 1) On behalf of such Direct Holders, the applicable portfolio managers, as managing directors (or in other capacities) of such entities, and/or the applicable investment committee members of such funds and accounts, have voting and investment power over the shares held by the funds and accounts which are the registered holders of the referenced shares. Such portfolio managers and/or investment committee members expressly disclaim beneficial ownership of all shares held by such funds and accounts. The address of such funds and accounts, such investment adviser subsidiaries and such portfolio managers and/or investment committee members is either 55 East 52nd Street, New York, NY 10055 or 2951 28th Street, Santa Monica, CA 90405. |
Filing footnotes · ownership attribution and instrument terms
F1: The registered holders of the shares of common stock reported in this Form 3 are the following funds and accounts under management by investment adviser subsidiaries of BlackRock, Inc: (i) TCP Waterman CLO, LLC, (ii) Tennenbaum Energy Opportuntities Co, LLC, (iii) Tennenbaum Enhanced Yield Operating I, LLC, (iv) Tennenbaum Senior Loan Fund V, LLC, and (v) Tennenbaum Senior Loan Operating III, LLC (collectively, the "Direct Holders"). None of the Direct Holders beneficially owns in excess of 5% of the outstanding common stock of the Issuer. BlackRock, Inc. is the ultimate indirect parent holding company of the investment advisors of the Direct Holders and may be deemed to have indirect beneficial ownership of such shares.
F2: (Continued from footnote 1) On behalf of such Direct Holders, the applicable portfolio managers, as managing directors (or in other capacities) of such entities, and/or the applicable investment committee members of such funds and accounts, have voting and investment power over the shares held by the funds and accounts which are the registered holders of the referenced shares. Such portfolio managers and/or investment committee members expressly disclaim beneficial ownership of all shares held by such funds and accounts. The address of such funds and accounts, such investment adviser subsidiaries and such portfolio managers and/or investment committee members is either 55 East 52nd Street, New York, NY 10055 or 2951 28th Street, Santa Monica, CA 90405.
PNMAC Holdings, Inc.
Report date November 01, 2018 · Filed November 06, 2018
Jointly reported with BlackRock Holdco 2, Inc., BLACKROCK FINANCIAL MANAGEMENT INC/DE, BlackRock Mortgage Ventures, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | IndirectSee footnote | 15,560,647 |
Reported balance
After 2018-11-01 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-11-01 · Conversion · Acquired 13,760,647 · Balance 15,560,647 F1: On August 2, 2018, PennyMac Financial Services, Inc., a Delaware corporation ("Old PennyMac") entered into a Contribution Agreement and Plan of Merger (the "Reorganization Agreement") with various parties including, among others, New PennyMac Financial Services, Inc., a Delaware corporation (the "Issuer"), and BlackRock Mortgage Ventures, LLC ("BLK MV"), an indirect wholly owned subsidiary of BlackRock, Inc. (the "Reporting Person"). The Reorganization Agreement provided that Old PennyMac would reorganize under a new public holding company, eliminate its "Up-C" structure and transition to a single class of common stock held by all stockholders. On November 1, 2018, the transactions contemplated by the Reorganization Agreement (the "Reorganization") were completed. The Issuer succeeded to Old PennyMac as a public-reporting Company pursuant to Rule 12g-3 under the Securities Exchange Act of 1934, and changed its name to PennyMac Financial Services Inc. F2: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F3: 15,560,647 shares of Common Stock beneficially owned by the Reporting Person (including the 13,760,647 shares of Common Stock that were converted from Class A Units held by BlackRock Mortgage Ventures LLC pursuant to the Reorganization) are directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. are indirect beneficial owners of these securities. |
| Class A Units of Private National Mortgage Acceptance CompanSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectSee footnote | 0 |
Reported balance
After 2018-11-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-11-01 · Conversion · Disposed 13,760,647 · Balance 0 F1: On August 2, 2018, PennyMac Financial Services, Inc., a Delaware corporation ("Old PennyMac") entered into a Contribution Agreement and Plan of Merger (the "Reorganization Agreement") with various parties including, among others, New PennyMac Financial Services, Inc., a Delaware corporation (the "Issuer"), and BlackRock Mortgage Ventures, LLC ("BLK MV"), an indirect wholly owned subsidiary of BlackRock, Inc. (the "Reporting Person"). The Reorganization Agreement provided that Old PennyMac would reorganize under a new public holding company, eliminate its "Up-C" structure and transition to a single class of common stock held by all stockholders. On November 1, 2018, the transactions contemplated by the Reorganization Agreement (the "Reorganization") were completed. The Issuer succeeded to Old PennyMac as a public-reporting Company pursuant to Rule 12g-3 under the Securities Exchange Act of 1934, and changed its name to PennyMac Financial Services Inc. F2: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F3: 15,560,647 shares of Common Stock beneficially owned by the Reporting Person (including the 13,760,647 shares of Common Stock that were converted from Class A Units held by BlackRock Mortgage Ventures LLC pursuant to the Reorganization) are directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. are indirect beneficial owners of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 2, 2018, PennyMac Financial Services, Inc., a Delaware corporation ("Old PennyMac") entered into a Contribution Agreement and Plan of Merger (the "Reorganization Agreement") with various parties including, among others, New PennyMac Financial Services, Inc., a Delaware corporation (the "Issuer"), and BlackRock Mortgage Ventures, LLC ("BLK MV"), an indirect wholly owned subsidiary of BlackRock, Inc. (the "Reporting Person"). The Reorganization Agreement provided that Old PennyMac would reorganize under a new public holding company, eliminate its "Up-C" structure and transition to a single class of common stock held by all stockholders. On November 1, 2018, the transactions contemplated by the Reorganization Agreement (the "Reorganization") were completed. The Issuer succeeded to Old PennyMac as a public-reporting Company pursuant to Rule 12g-3 under the Securities Exchange Act of 1934, and changed its name to PennyMac Financial Services Inc.
F2: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock.
F3: 15,560,647 shares of Common Stock beneficially owned by the Reporting Person (including the 13,760,647 shares of Common Stock that were converted from Class A Units held by BlackRock Mortgage Ventures LLC pursuant to the Reorganization) are directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. are indirect beneficial owners of these securities.
PennyMac Financial Services, Inc.
Report date February 11, 2020 · Filed February 13, 2020
Jointly reported with BLACKROCK FINANCIAL MANAGEMENT INC/DE, BlackRock Holdco 2, Inc., BlackRock Mortgage Ventures, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2020-02-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-02-11 · Gift · Disposed 15,560,647 · Balance 0 F1: Reflects securities directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. may have been deemed to be indirect beneficial owners of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects securities directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. may have been deemed to be indirect beneficial owners of these securities.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 11, 2020 Filed Feb 13, 2020 22:55 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GiftCommon Stock | 15,560,647 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-004513 · doc4.xml · nonDerivative · entry 1 BlackRock Inc. · CIK 0001364742 · 10% owner BLACKROCK FINANCIAL MANAGEMENT INC/DE · CIK 0001086363 · 10% owner BlackRock Holdco 2, Inc. · CIK 0001060021 · 10% owner BlackRock Mortgage Ventures, LLC · CIK 0001576419 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · ownership.nature: Reflects securities directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. may have been deemed to be indirect beneficial owners of these securities. Read SEC document |
| November 01, 2018 Filed Nov 6, 2018 02:31 UTC | PNMAC Holdings, Inc. PFSI · Entity 162615 | ConversionClass A Units of Private National Mortgage Acceptance Compan · Derivative | 13,760,647 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-042406 · form4.xml · derivative · entry 2 BlackRock Inc. · CIK 0001364742 · Director · 10% owner BlackRock Holdco 2, Inc. · CIK 0001060021 · 10% owner BLACKROCK FINANCIAL MANAGEMENT INC/DE · CIK 0001086363 · 10% owner BlackRock Mortgage Ventures, LLC · CIK 0001576419 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 13,760,647 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 2, 2018, PennyMac Financial Services, Inc., a Delaware corporation ("Old PennyMac") entered into a Contribution Agreement and Plan of Merger (the "Reorganization Agreement") with various parties including, among others, New PennyMac Financial Services, Inc., a Delaware corporation (the "Issuer"), and BlackRock Mortgage Ventures, LLC ("BLK MV"), an indirect wholly owned subsidiary of BlackRock, Inc. (the "Reporting Person"). The Reorganization Agreement provided that Old PennyMac would reorganize under a new public holding company, eliminate its "Up-C" structure and transition to a single class of common stock held by all stockholders. On November 1, 2018, the transactions contemplated by the Reorganization Agreement (the "Reorganization") were completed. The Issuer succeeded to Old PennyMac as a public-reporting Company pursuant to Rule 12g-3 under the Securities Exchange Act of 1934, and changed its name to PennyMac Financial Services Inc. F2 · kind: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F2 · derivative.exercise_date: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F2 · derivative.expiration_date: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F3 · ownership.nature: 15,560,647 shares of Common Stock beneficially owned by the Reporting Person (including the 13,760,647 shares of Common Stock that were converted from Class A Units held by BlackRock Mortgage Ventures LLC pursuant to the Reorganization) are directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. are indirect beneficial owners of these securities. Read SEC document |
| November 01, 2018 Filed Nov 6, 2018 02:31 UTC | PNMAC Holdings, Inc. PFSI · Entity 162615 | ConversionCommon stock | 13,760,647 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-042406 · form4.xml · nonDerivative · entry 1 BlackRock Inc. · CIK 0001364742 · Director · 10% owner BlackRock Holdco 2, Inc. · CIK 0001060021 · 10% owner BLACKROCK FINANCIAL MANAGEMENT INC/DE · CIK 0001086363 · 10% owner BlackRock Mortgage Ventures, LLC · CIK 0001576419 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 15,560,647 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 2, 2018, PennyMac Financial Services, Inc., a Delaware corporation ("Old PennyMac") entered into a Contribution Agreement and Plan of Merger (the "Reorganization Agreement") with various parties including, among others, New PennyMac Financial Services, Inc., a Delaware corporation (the "Issuer"), and BlackRock Mortgage Ventures, LLC ("BLK MV"), an indirect wholly owned subsidiary of BlackRock, Inc. (the "Reporting Person"). The Reorganization Agreement provided that Old PennyMac would reorganize under a new public holding company, eliminate its "Up-C" structure and transition to a single class of common stock held by all stockholders. On November 1, 2018, the transactions contemplated by the Reorganization Agreement (the "Reorganization") were completed. The Issuer succeeded to Old PennyMac as a public-reporting Company pursuant to Rule 12g-3 under the Securities Exchange Act of 1934, and changed its name to PennyMac Financial Services Inc. F2 · kind: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F3 · ownership.nature: 15,560,647 shares of Common Stock beneficially owned by the Reporting Person (including the 13,760,647 shares of Common Stock that were converted from Class A Units held by BlackRock Mortgage Ventures LLC pursuant to the Reorganization) are directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. are indirect beneficial owners of these securities. Read SEC document |
| November 01, 2018 Filed Nov 6, 2018 02:55 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | ConversionClass A Units of Private National Mortgage Acceptance Compan · Derivative | 13,760,647 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-042417 · form4.xml · derivative · entry 2 BlackRock Inc. · CIK 0001364742 · Director · 10% owner BlackRock Holdco 2, Inc. · CIK 0001060021 · 10% owner BLACKROCK FINANCIAL MANAGEMENT INC/DE · CIK 0001086363 · 10% owner BlackRock Mortgage Ventures, LLC · CIK 0001576419 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 13,760,647 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 2, 2018, PennyMac Financial Services, Inc., a Delaware corporation ("Old PennyMac") entered into a Contribution Agreement and Plan of Merger (the "Reorganization Agreement") with various parties including, among others, New PennyMac Financial Services, Inc., a Delaware corporation (the "Issuer"), and BlackRock Mortgage Ventures, LLC ("BLK MV"), an indirect wholly owned subsidiary of BlackRock, Inc. (the "Reporting Person"). The Reorganization Agreement provided that Old PennyMac would reorganize under a new public holding company, eliminate its "Up-C" structure and transition to a single class of common stock held by all stockholders. On November 1, 2018, the transactions contemplated by the Reorganization Agreement (the "Reorganization") were completed. The Issuer succeeded to Old PennyMac as a public-reporting Company pursuant to Rule 12g-3 under the Securities Exchange Act of 1934, and changed its name to PennyMac Financial Services Inc. F2 · kind: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F2 · derivative.exercise_date: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F2 · derivative.expiration_date: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F3 · ownership.nature: 15,560,647 shares of Common Stock beneficially owned by the Reporting Person (including the 13,760,647 shares of Common Stock that were converted from Class A Units held by BlackRock Mortgage Ventures LLC pursuant to the Reorganization) are directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. are indirect beneficial owners of these securities. Read SEC document |
| November 01, 2018 Filed Nov 6, 2018 02:55 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | ConversionCommon stock | 13,760,647 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-042417 · form4.xml · nonDerivative · entry 1 BlackRock Inc. · CIK 0001364742 · Director · 10% owner BlackRock Holdco 2, Inc. · CIK 0001060021 · 10% owner BLACKROCK FINANCIAL MANAGEMENT INC/DE · CIK 0001086363 · 10% owner BlackRock Mortgage Ventures, LLC · CIK 0001576419 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 15,560,647 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: On August 2, 2018, PennyMac Financial Services, Inc., a Delaware corporation ("Old PennyMac") entered into a Contribution Agreement and Plan of Merger (the "Reorganization Agreement") with various parties including, among others, New PennyMac Financial Services, Inc., a Delaware corporation (the "Issuer"), and BlackRock Mortgage Ventures, LLC ("BLK MV"), an indirect wholly owned subsidiary of BlackRock, Inc. (the "Reporting Person"). The Reorganization Agreement provided that Old PennyMac would reorganize under a new public holding company, eliminate its "Up-C" structure and transition to a single class of common stock held by all stockholders. On November 1, 2018, the transactions contemplated by the Reorganization Agreement (the "Reorganization") were completed. The Issuer succeeded to Old PennyMac as a public-reporting Company pursuant to Rule 12g-3 under the Securities Exchange Act of 1934, and changed its name to PennyMac Financial Services Inc. F2 · kind: In the Reorganization, (i) 13,760,647 Class A Units of Private National Mortgage Acceptance Company, LLC held by BLK MV were exchanged for 13,760,647 shares of common stock of the Issuer ("Common Stock") and (ii) 1,800,000 shares of Class A common stock of Old PennyMac held by BLK MV were converted into 1,800,000 shares of Common Stock. F3 · ownership.nature: 15,560,647 shares of Common Stock beneficially owned by the Reporting Person (including the 13,760,647 shares of Common Stock that were converted from Class A Units held by BlackRock Mortgage Ventures LLC pursuant to the Reorganization) are directly owned by BlackRock Mortgage Ventures, LLC, which is a wholly owned subsidiary of BlackRock Financial Management, Inc., which is a wholly owned subsidiary of BlackRock Holdco 2, Inc., which is a wholly-owned subsidiary of BlackRock, Inc. BlackRock, Inc., BlackRock Holdco 2, Inc., and BlackRock Financial Management, Inc. are indirect beneficial owners of these securities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.