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Filing Details

Accession Number:: 0001127602-23-029511
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-12-12 20:14:11
Reporting Period:: 2023-12-08

Accepted Time:: 2023-12-12 20:14:11
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
1544302	Doug Jones	C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361	Director, President & Cmbo	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	Acquisiton	2023-12-08	28,216	$17.26	53,200	No	4	M	Direct
Common Stock	Disposition	2023-12-08	28,216	$79.82	24,984	No	4	S	Direct
Common Stock	Disposition	2023-12-08	27,830	$80.23	517,170	No	4	S	Indirect	GR Family Investments LLC
Common Stock	Disposition	2023-12-11	7,170	$80.38	510,000	No	4	S	Indirect	GR Family Investments LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct
No	4	S	Indirect	GR Family Investments LLC
No	4	S	Indirect	GR Family Investments LLC

Reported Derivative Transactions

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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	28,216	$0.00	28,216	$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 Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	17,477	Indirect	The Jones Family Trust

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)	$57.10	2023-02-23	2032-02-22	54,063	54,063	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	34,626	34,626	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$24.40	2019-03-09	2028-03-08	26,467	26,467	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$22.92	2020-03-15	2029-03-14	27,744	27,744	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$59.68	2020-12-14	2030-12-13	54,024	54,024	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$35.03	2021-02-26	2030-02-25	30,366	30,366	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$58.85	2022-02-25	2031-02-24	29,566	29,566	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$60.74	2024-02-24	2033-02-23	25,724	25,724	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2032-02-22	54,063	54,063	Direct
2025-03-02	23,829	23,829	Direct
2026-03-06	27,771	27,771	Direct
2027-03-05	34,626	34,626	Direct
2028-03-08	26,467	26,467	Direct
2029-03-14	27,744	27,744	Direct
2030-12-13	54,024	54,024	Direct
2030-02-25	30,366	30,366	Direct
2031-02-24	29,566	29,566	Direct
2033-02-23	25,724	25,724	Direct

Footnotes

The reported amount consists of 24,984 restricted stock units and 28,216 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 $80.05 to $80.31. 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 $80.05 to $80.31. 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 24,984 restricted stock units which 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 $80.05 to $80.31. 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 $79.94 to $80.63. 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.
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 54,063 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 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 continued service through each date.
This nonstatutory stock option to purchase 34,626 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 continued service through each date.
This nonstatutory stock option to purchase 26,467 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 continued service through each date.
This nonstatutory stock option to purchase 27,744 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 54,024 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 continued service through each lapse date.
This nonstatutory stock option to purchase 30,366 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 29,566 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.
This nonstatutory stock option to purchase 25,724 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 servicethrough each date.