Filing Details
- Accession Number:
- 0001127602-23-029509
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-12 20:11:28
- Reporting Period:
- 2023-12-08
- Accepted Time:
- 2023-12-12 20:11:28
- 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 |
|---|---|---|---|---|---|---|---|
| 1486334 | L Gregory Hendry | C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361 | Md, Chief Accounting 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 | 2023-12-08 | 3,077 | $17.26 | 50,259 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-12-08 | 3,077 | $79.26 | 47,182 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2023-12-08 | 3,077 | $0.00 | 3,077 | $17.26 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-02-26 | 2024-02-25 | 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) | $24.40 | 2019-03-09 | 2028-03-08 | 2,177 | 2,177 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $18.05 | 2018-03-06 | 2027-03-05 | 2,943 | 2,943 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $11.28 | 2017-03-07 | 2026-03-06 | 3,530 | 3,530 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $17.52 | 2016-03-03 | 2025-03-02 | 3,032 | 3,032 | Direct |
| Common Stock | Nonstatutory Stock Option (Right to Buy) | $60.74 | 2024-02-24 | 2033-02-23 | 1,028 | 1,028 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2028-03-08 | 2,177 | 2,177 | Direct |
| 2027-03-05 | 2,943 | 2,943 | Direct |
| 2026-03-06 | 3,530 | 3,530 | Direct |
| 2025-03-02 | 3,032 | 3,032 | Direct |
| 2033-02-23 | 1,028 | 1,028 | Direct |
Footnotes
- The reported amount consists of 1,017 restricted stock units and 49,242 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 $79.11 to $79.34. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.
- The reported amount consists of 1,017 restricted stock units and 46,165 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 3,077 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 2,177 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 2,943 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 3,530 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 3,032 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 1,028 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 continued service through each date.
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