Filing Details

Accession Number:
0001127602-20-011565
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-19 19:28:35
Reporting Period:
2020-03-19
Accepted Time:
2020-03-19 19:28:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1745916 Pennymac Financial Services Inc. PFSI () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1468932 S Andrew Chang C/O Pennymac Financial Services, Inc.
3043 Townsgate Road
Westlake Village CA 91361
Chief Financial 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
Common Stock Acquisiton 2020-03-19 35,841 $16.60 982,703 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Nonstatutory Stock Option (Right to Buy) $21.03 2014-06-13 2023-06-12 15,882 15,882 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $17.26 2015-02-26 2024-02-25 28,216 28,216 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $17.52 2016-03-03 2025-03-02 23,829 23,829 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $11.28 2017-03-07 2026-03-06 27,771 27,771 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $18.05 2018-03-06 2027-03-05 27,700 27,700 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $24.40 2019-03-09 2028-03-08 21,174 21,174 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $22.92 2020-03-15 2029-03-14 22,274 22,274 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $35.03 2021-02-26 2030-02-25 23,765 23,765 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 27,700 27,700 Direct
2028-03-08 21,174 21,174 Direct
2029-03-14 22,274 22,274 Direct
2030-02-25 23,765 23,765 Direct
Footnotes
  1. The price reported is the weighted average price of multiple transactions ranging fro $16.04 to $17.00 The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.
  2. The reported amount consists of 15,186 restricted stock units and 967,517 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
  3. This nonstatutory stock option to purchase 15,882 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.
  4. This nonstatutory stock option to purchase 28,216 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date.
  5. This nonstatutory stock option to purchase 23,829 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date.
  6. This nonstatutory stock option to purchase 27,771 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 7, 2017, 2018 and 2019, subject to the Reporting Person's committed service through each date.
  7. This nonstatutory stock option to purchase 27,770 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's committed service through each date.
  8. This nonstatutory stock option to purchase 21,174 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 9, 2019, 2020 and 2021, subject to the Reporting Person's committed service through each date.
  9. This nonstatutory stock option to purchase 22,274 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 15, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date.
  10. This nonstatutory stock option to purchase 23,765 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each date.