Current Report Filing (8-k)
10 March 2023 - 8:37AM
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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): March 3, 2023
PennyMac Mortgage Investment Trust
(Exact name of registrant as specified in its charter)
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Maryland |
001-34416 |
27-0186273 |
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(State or other jurisdiction |
(Commission |
(IRS Employer |
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of incorporation) |
File Number) |
Identification No.) |
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3043 Townsgate Road, Westlake Village, California |
91361 |
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(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))
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered |
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Common Shares of Beneficial Interest, $0.01 par value |
PMT |
New York Stock Exchange |
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8.125% Series A Cumulative Redeemable Preferred Shares of Beneficial Interest, $0.01 par value |
PMT/PA |
New York Stock Exchange |
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8.00% Series B Cumulative Redeemable Preferred Shares of Beneficial Interest, $0.01 par value |
PMT/PB |
New York Stock Exchange |
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6.75% Series C Cumulative Redeemable Preferred Shares of Beneficial Interest, $0.01 par value |
PMT/PC |
New York Stock Exchange |
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. ☐
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On March 3, 2023, Vandad Fartaj ceased serving as PennyMac Mortgage Investment Trust’s (the “Company”) Senior Managing Director and Chief Investment Officer.
On March 9, 2023, the Company announced that William Chang has been appointed as the Company’s Senior Managing Director and Chief Investment Officer.
Item 7.01 Regulation FD Disclosure.
On March 9, 2023, the Company issued a press release announcing the items described in Item 5.02 of the Current Report on Form 8-K. A copy of the press release is furnished as Exhibit 99.1 hereto.
The information in this Item 7.01 of this report, including Exhibit 99.1 attached hereto, shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, or otherwise subject to the liabilities of Section 18, nor shall it be deemed incorporated by reference into any disclosure document relating to the Company, except to the extent, if any, expressly set forth by specific reference in such filing.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
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.
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PENNYMAC MORTGAGE INVESTMENT TRUST |
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Dated: March 9, 2023 |
/s/ Daniel S. Perotti |
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Daniel S. Perotti
Senior Managing Director and Chief Financial Officer |
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