Home > Insider Trading > Filing (0001127602-18-002179)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1568669	Pennymac Financial Services Inc.	PFSI	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1232611	Anne Mccallion	C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361	Chief Enterprise Ops Officer	No	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2018-01-17	5,000	$0.00	5,000	No	4	M	Indirect	The McCallion Family Trust dated 12/21/98
Class A Common Stock	Disposition	2018-01-17	5,000	$23.00	0	No	4	S	Indirect	The McCallion Family Trust dated 12/21/98
Class A Common Stock	Acquisiton	2018-01-18	5,000	$0.00	5,000	No	4	M	Indirect	The McCallion Family Trust dated 12/21/98
Class A Common Stock	Disposition	2018-01-18	5,000	$23.28	0	No	4	S	Indirect	The McCallion Family Trust dated 12/21/98

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Indirect	The McCallion Family Trust dated 12/21/98
No	4	S	Indirect	The McCallion Family Trust dated 12/21/98
No	4	M	Indirect	The McCallion Family Trust dated 12/21/98
No	4	S	Indirect	The McCallion Family Trust dated 12/21/98

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC	Disposition	2018-01-17	5,000	$0.00	5,000	$0.00
Class A Common Stock	Cl A Units of Private Nat'l Mortgage Acceptance Company, LLC	Disposition	2018-01-18	5,000	$0.00	5,000	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
615,720			No	4	M	Indirect
610,720			No	4	M	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	10,526	Direct

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Class A Common Stock	Nonstatutory Stock Option (Right to Buy)	$21.03	2014-06-13	2023-06-12	15,882	15,882	Direct
Class A Common Stock	Nonstatutory Stock Option (Right to Buy)	$17.26	2015-02-26	2024-02-25	28,216	28,216	Direct
Class A Common Stock	Nonstatutory Stock Option (Right to Buy)	$17.52	2016-03-03	2025-03-02	23,829	23,829	Direct
Class A Common Stock	Nonstatutory Stock Option (Right to Buy)	$11.28	2017-03-07	2026-03-06	27,771	27,771	Direct
Class A Common Stock	Nonstatutory Stock Option (Right to Buy)	$18.05	2018-03-06	2027-03-05	22,506	22,506	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2023-06-12	15,882	15,882	Direct
2024-02-25	28,216	28,216	Direct
2025-03-02	23,829	23,829	Direct
2026-03-06	27,771	27,771	Direct
2027-03-05	22,506	22,506	Direct

Footnotes

Represents shares of Class A Common Stock received upon the exchange of Class A Units of Private National Mortgage Acceptance Company, LLC.
Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments.
These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
The price reported is the weighted average price of multiple transactions at prices ranging from $22.75 to $23.225. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected.
The price reported is the weighted average price of multiple transactions at prices ranging from $23.20 to $23.325. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected.
The reported amount consists of 9,002 restricted stock units and 1,524 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.