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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): June 13, 2023

 

PennyMac Financial Services, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware 001-38727 83-1098934
(State or other jurisdiction
of incorporation)		 (Commission
File Number)		 (IRS Employer
Identification No.)

 

3043 Townsgate Road, Westlake Village, California 91361
(Address of principal executive offices) (Zip Code)

 

(818) 224-7442

(Registrant’s telephone number, including area code)

 

Not Applicable

(Former name or former address, if changed since last report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ¨

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, $0.0001 par value PFSI New York Stock Exchange

  

 

 

 

 

 

Item 5.07 Submission of Matters to a Vote of Security Holders.

 

On June 13, 2023, PennyMac Financial Services, Inc. (the “Company”) held its Annual Meeting of Stockholders (the “Meeting”) for the purpose of: (i) electing twelve (12) director nominees to serve on the Board of Directors (the “Board”), each for a one-year term expiring at the 2024 Annual Meeting of Stockholders; (ii) ratifying the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2023; (iii) approving, by non-binding vote, the Company’s executive compensation; and (iv) recommending, by non-binding vote, the frequency of our executive compensation vote.  The total number of shares of common stock entitled to vote as of the record date was 49,967,783, of which 46,786,805 votes, or 93.6%, were present in person or by proxy.

 

Proposal 1: The election of twelve (12) director nominees to serve on the Board, each for a one-year term expiring at the 2024 Annual Meeting of Stockholders.

 

Trustee  Votes For   Votes Against   Abstentions   Broker Non-Votes 
David A. Spector   41,980,883    410,478    2,774    4,392,670 
James K. Hunt   40,795,669    1,593,811    4,655    4,392,670 
Jonathon S. Jacobson   42,048,362    341,124    4,649    4,392,670 
Doug Jones   42,212,263    179,092    2,780    4,392,670 
Patrick Kinsella   42,153,362    236,179    4,594    4,392,670 
Anne D. McCallion   42,206,132    185,221    2,782    4,392,670 
Joseph Mazzella   42,027,221    362,263    4,651    4,392,670 
Farhad Nanji   41,955,623    433,865    4,647    4,392,670 
Jeffrey A. Perlowitz   42,146,714    242,810    4,611    4,392,670 
Lisa M. Shalett   42,056,626    332,840    4,669    4,392,670 
Theodore W. Tozer   42,230,966    158,562    4,607    4,392,670 
Emily Youssouf   42,230,832    158,485    4,818    4,392,670 

 

Proposal 2: Ratification of the appointment of Deloitte & Touche LLP as independent registered public accounting firm for the Company for the fiscal year ending December 31, 2023.

 

Votes For   Votes Against   Abstentions   Broker Non-Votes 
 46,672,555    105,362    8,888    0 

 

Proposal 3: Approval, by non-binding vote, of the Company’s executive compensation.

 

Votes For   Votes Against   Abstentions   Broker Non-Votes 
 35,013,618    7,365,902    14,615    4,392,670 

 

Proposal 4:  Recommend, by non-binding vote, the frequency of our executive compensation vote.

 

1 Year   2 Year   3 Year   Abstain 
 40,545,126    5,761    1,840,449    2,799 

 

 

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  PENNYMAC FINANCIAL SERVICES, INC.
   
Dated:  June 14, 2023 /s/ Daniel S. Perotti
  Daniel S. Perotti
  Senior Managing Director and Chief Financial Officer

 

 

 

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