Doug Jones - Feb 16, 2023 Form 4 Insider Report for PennyMac Financial Services, Inc. (PFSI)

Role
President & Chief Mtg Bkg Ofcr
Signature
/s/ Derek W. Stark, attorney-in-fact for Mr. Jones
Stock symbol
PFSI
Transactions as of
Feb 16, 2023
Transactions value $
-$2,127,761
Form type
4
Date filed
2/21/2023, 06:25 PM
Previous filing
Dec 16, 2022
Next filing
Feb 22, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFSI Common Stock Options Exercise $334K +15.9K +61.3% $21.03 41.8K Feb 16, 2023 Direct F1
transaction PFSI Common Stock Sale -$1.05M -15.9K -38% $65.96 25.9K Feb 16, 2023 Direct F2, F3, F4
transaction PFSI Common Stock Sale -$1.41M -21.4K -4.07% $65.96 505K Feb 16, 2023 GR Family Investments LLC F2, F3
holding PFSI Common Stock 30K Feb 16, 2023 Jones A LLC
holding PFSI Common Stock 30K Feb 16, 2023 Jones B LLC
holding PFSI Common Stock 17.5K Feb 16, 2023 The Jones Family Trust

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PFSI Nonstatutory Stock Option (Right to Buy) Options Exercise $0 -15.9K -100% $0.00* 0 Feb 16, 2023 Common Stock 15.9K $21.03 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 28.2K Feb 16, 2023 Common Stock 28.2K $17.26 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 23.8K Feb 16, 2023 Common Stock 23.8K $17.52 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 27.8K Feb 16, 2023 Common Stock 27.8K $11.28 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 34.6K Feb 16, 2023 Common Stock 34.6K $18.05 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 26.5K Feb 16, 2023 Common Stock 26.5K $24.40 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 27.7K Feb 16, 2023 Common Stock 27.7K $22.92 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 54K Feb 16, 2023 Common Stock 54K $59.68 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 30.4K Feb 16, 2023 Common Stock 30.4K $35.03 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 29.6K Feb 16, 2023 Common Stock 29.6K $58.85 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 54.1K Feb 16, 2023 Common Stock 54.1K $57.10 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reported amount consists of 25,909 restricted stock units and 15,882 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
F2 The price reported is the weighted average price of multiple transactions ranging from $64.92 to $65.92. 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.
F3 The price reported is the weighted average price of multiple transactions ranging from $65.92 to $66.63. 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.
F4 The reported amount consists of 25,909 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.