Filing Details
- Accession Number:
- 0001127602-23-029507
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-12 20:08:53
- Reporting Period:
- 2023-12-11
- Accepted Time:
- 2023-12-12 20:08:53
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1745916 | Pennymac Financial Services Inc. | PFSI | Mortgage Bankers & Loan Correspondents (6162) | 831098934 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1912289 | James Follette | C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361 | Chief Mort Fulfillment Off. | 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 | 2023-12-11 | 5,839 | $22.92 | 18,314 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-12-11 | 15,404 | $35.03 | 33,718 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-11 | 5,839 | $80.42 | 27,879 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-12-11 | 15,404 | $80.42 | 12,475 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-12-11 | 499 | $80.42 | 11,976 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Nonstatutory Stock Option (Right to Buy) | Disposition | 2023-12-11 | 5,839 | $0.00 | 5,839 | $22.92 |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | Disposition | 2023-12-11 | 15,404 | $0.00 | 15,404 | $35.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-03-15 | 2029-03-14 | No | 4 | M | Direct |
| 0 | 2021-02-26 | 2030-02-25 | No | 4 | M | 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) | $59.68 | 2020-12-14 | 2030-12-13 | 20,259 | 20,259 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $58.85 | 2022-02-25 | 2031-02-24 | 12,935 | 12,935 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $57.10 | 2023-02-23 | 2032-02-22 | 27,645 | 27,645 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $60.74 | 2024-02-24 | 2033-02-23 | 11,575 | 11,575 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2030-12-13 | 20,259 | 20,259 | Direct |
| 2031-02-24 | 12,935 | 12,935 | Direct |
| 2032-02-22 | 27,645 | 27,645 | Direct |
| 2033-02-23 | 11,575 | 11,575 | Direct |
Footnotes
- The reported amount consists of 11,976 restricted stock units and 6,338 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- The reported amount consists of 11,976 restricted stock units and 21,742 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 $80.13 to $80.57. 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 11,976 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- This nonstatutory stock option to purchase 5,839 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 committed service through each date.
- This nonstatutory stock option to purchase 15,404 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 committed service through each date.
- This nonstatutory stock option to purchase 20,259 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of December 14, 2020, 2021 and 2022, subject to the Reporting Person's committed service through each date.
- This nonstatutory stock option to purchase 12,935 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 committed service through each date.
- This nonstatutory stock option to purchase 27,645 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 23, 2023, 2024 and 2025, subject to the Reporting Person's committed service through each date.
- This nonstatutory stock option to purchase 11,575 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 24, 2024, 2025 and 2026, subject to the Reporting Person's committed service through each date.
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