Statement of Changes in Beneficial Ownership (4)
20 March 2020 - 10:52AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Carnahan Scott W. |
2. Issuer Name and Ticker or Trading Symbol
PennyMac Mortgage Investment Trust
[
PMT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O PENNYMAC MORTGAGE INVESTMENT TRUST, 3043 TOWNSGATE ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/19/2020 |
(Street)
WESTLAKE VILLAGE, CA 91361
(City)
(State)
(Zip)
|
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 Shares of Beneficial Interest | 3/19/2020 | | P | | 1000 | A | $6.475 | 8200 | I | Schwab IRA |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 1000 | A | $6.4252 | 9200 | I | Schwab IRA |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 500 | A | $6.3501 | 9700 | I | Schwab IRA |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 500 | A | $5.9165 | 10200 | I | Schwab IRA |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 500 | A | $5.92 | 10700 | I | Schwab IRA |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 1000 | A | $5.4776 | 11700 | I | Schwab IRA |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 1000 | A | $5.3476 | 12700 | I | Schwab IRA |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 4500 | A | $6.75 | 27500 | I | UBS IRA |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 175 | A | $6.447 | 69094 (1) | D | |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 325 | A | $6.45 | 69419 (2) | D | |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 100 | A | $6.379 | 69519 (3) | D | |
Common Shares of Beneficial Interest | 3/19/2020 | | P | | 400 | A | $6.36 | 69919 (4) | D | |
Common Shares of Beneficial Interest | | | | | | | | 3222 | I | Schwab Roth IRA |
Common Shares of Beneficial Interest | | | | | | | | 5135 | I | Schwab SEP IRA |
Common Shares of Beneficial Interest | | | | | | | | 950 | I | Wells Roth IRA |
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 |
Explanation of Responses: |
(1) | The reported amount consists of 8,892 restricted share units and 60,202 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. |
(2) | The reported amount consists of 8,892 restricted share units and 60,527 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. |
(3) | The reported amount consists of 8,892 restricted share units and 60,627 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. |
(4) | The reported amount consists of 8,892 restricted share units and 61,027 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Carnahan Scott W. C/O PENNYMAC MORTGAGE INVESTMENT TRUST 3043 TOWNSGATE ROAD WESTLAKE VILLAGE, CA 91361 | X |
|
|
|
Signatures
|
/s/ Kisha Parker, attorney-in-fact for Mr. Carnahan | | 3/19/2020 |
**Signature of Reporting Person | Date |
PennyMac Mortgage Invest... (NYSE:PMT)
Historical Stock Chart
From Apr 2024 to May 2024
PennyMac Mortgage Invest... (NYSE:PMT)
Historical Stock Chart
From May 2023 to May 2024