Gregory L. Hendry - 30 Mar 2023 Form 4 Insider Report for PennyMac Financial Services, Inc. (PFSI)

Role
MD, Chief Accounting Officer
Signature
/s/ Derek W. Stark, attorney-in-fact for Mr. Hendry
Issuer symbol
PFSI
Transactions as of
30 Mar 2023
Transactions value $
-$74,444
Form type
4
Filing time
03 Apr 2023, 19:11:25 UTC
Previous filing
01 Mar 2023
Next filing
12 Dec 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFSI Common Stock Options Exercise $42,438 +2,018 +4.3% $21.03 49,200 30 Mar 2023 Direct F1
transaction PFSI Common Stock Sale -$116,882 -2,018 -4.1% $57.92 47,182 30 Mar 2023 Direct F2

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 -2,018 -100% $0* 0 30 Mar 2023 Common Stock 2,018 $21.03 Direct F3
holding PFSI Nonstatutory Stock Option (Right to Buy) 3,077 30 Mar 2023 Common Stock 3,077 $17.26 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 1,028 30 Mar 2023 Common Stock 1,028 $60.74 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 3,032 30 Mar 2023 Common Stock 3,032 $17.52 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 3,530 30 Mar 2023 Common Stock 3,530 $11.28 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 2,943 30 Mar 2023 Common Stock 2,943 $18.05 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 2,177 30 Mar 2023 Common Stock 2,177 $24.4 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 1,017 restricted stock units and 48,183 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 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.
F3 This nonstatutory stock option to purchase 2,018 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.