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Filing Details

Accession Number:: 0001127602-21-011180
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-03-17 18:35:20
Reporting Period:: 2021-03-16

Accepted Time:: 2021-03-17 18:35:20
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
1468934	M David Walker	C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361	Chief Risk Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2021-03-16	6,700	$65.04	80,178	No	4	S	Indirect	The Walker Trust 2002 Dated February 13, 2002, As Amended
Common Stock	Disposition	2021-03-16	3,300	$65.82	76,878	No	4	S	Indirect	The Walker Trust 2002 Dated February 13, 2002, As Amended
Common Stock	Disposition	2021-03-17	9,500	$65.18	67,378	No	4	S	Indirect	The Walker Trust 2002 Dated February 13, 2002, As Amended
Common Stock	Disposition	2021-03-17	500	$65.97	66,878	No	4	S	Indirect	The Walker Trust 2002 Dated February 13, 2002, As Amended

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	The Walker Trust 2002 Dated February 13, 2002, As Amended
No	4	S	Indirect	The Walker Trust 2002 Dated February 13, 2002, As Amended
No	4	S	Indirect	The Walker Trust 2002 Dated February 13, 2002, As Amended
No	4	S	Indirect	The Walker Trust 2002 Dated February 13, 2002, As Amended

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	37,550	Direct

Reported Derivative Holdings

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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	17,313	17,313	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$24.40	2019-03-09	2028-03-08	13,233	13,233	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$22.92	2020-03-15	2029-03-14	13,879	13,879	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$59.68	2020-12-14	2030-12-13	5,402	5,402	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$35.03	2021-02-26	2030-02-25	13,863	13,863	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$58.85	2022-02-25	2031-02-24	7,391	7,391	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	17,313	17,313	Direct
2028-03-08	13,233	13,233	Direct
2029-03-14	13,879	13,879	Direct
2030-12-13	5,402	5,402	Direct
2030-02-25	13,863	13,863	Direct
2031-02-24	7,391	7,391	Direct

Footnotes

These shares of Common Stock were sold pursuant to a 10b5-1 plan.
The price reported is the weighted average price of multiple transactions ranging from $64.157 to $65.56. 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.
The price reported is the weighted average price of multiple transactions ranging from $65.58 to $66.14. 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.
The price reported is the weighted average price of multiple transactions ranging from $64.50 to $65.48. 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.
The price reported is the weighted average price of multiple transactions ranging from $65.78 to $66.19. 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.
The reported amount consists of 6,048 restricted stock units and 31,502 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
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.
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.
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.
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.
This nonstatutory stock option to purchase 17,313 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.
This nonstatutory stock option to purchase 13,233 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.
This nonstatutory stock option to purchase 13,879 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.
This nonstatutory stock option to purchase 5,402 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in one-third increments on each of December 14, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse date.
This nonstatutory stock option to purchase 13,863 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.
This nonstatutory stock option to purchase 7,391 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date.