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Filing Details

Accession Number:: 0001127602-21-027454
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-10-21 18:13:55
Reporting Period:: 2021-10-20

Accepted Time:: 2021-10-21 18:13:55
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
1275713	David Spector	C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361	Chairman & Ceo	Yes	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	2021-10-20	14,614	$67.49	721,723	No	4	S	Direct
Common Stock	Disposition	2021-10-20	386	$68.23	721,337	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct
No	4	S	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	465,604	Indirect	ST Family Investment Company LLC

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	40,735	40,735	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$17.26	2015-02-26	2024-02-25	72,301	72,301	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$17.52	2016-03-03	2025-03-02	61,120	61,120	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$11.28	2017-03-07	2026-03-06	71,161	71,161	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$18.05	2018-03-06	2027-03-05	69,252	69,252	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$24.40	2019-03-09	2028-03-08	52,935	52,935	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$22.92	2020-03-15	2029-03-14	55,488	55,488	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$59.68	2020-12-14	2030-12-13	140,464	140,464	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$35.03	2021-02-26	2030-02-25	59,466	59,466	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$58.85	2022-02-25	2031-02-24	53,589	53,589	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2023-06-12	40,735	40,735	Direct
2024-02-25	72,301	72,301	Direct
2025-03-02	61,120	61,120	Direct
2026-03-06	71,161	71,161	Direct
2027-03-05	69,252	69,252	Direct
2028-03-08	52,935	52,935	Direct
2029-03-14	55,488	55,488	Direct
2030-12-13	140,464	140,464	Direct
2030-02-25	59,466	59,466	Direct
2031-02-24	53,589	53,589	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 $67.18 to $68.18. 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 29,982 restricted stock units and 691,741 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
The price reported is the weighted average price of multiple transactions ranging from $68.19 to $68.27. 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 29,982 restricted stock units and 691,355 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 40,735 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 72,301 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 61,120 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 continued service through each date.
This nonstatutory stock option to purchase 71,161 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 69,252 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 52,935 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 55,488 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 140,464 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 59,466 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 53,589 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.