Daniel Stanley Perotti - 15 May 2025 Form 4 Insider Report for PennyMac Financial Services, Inc. (PFSI)

Role
Chief Financial Officer
Signature
/s/ Derek W. Stark, attorney-in-fact for Mr. Perotti
Issuer symbol
PFSI
Transactions as of
15 May 2025
Transactions value $
-$1,044,228
Form type
4
Filing time
19 May 2025, 17:34:52 UTC
Previous filing
13 Mar 2025
Next filing
03 Sep 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Perotti Daniel Stanley Chief Financial Officer C/O PENNYMAC FINANCIAL SERVICES, INC., 3043 TOWNSGATE ROAD, WESTLAKE VILLAGE /s/ Derek W. Stark, attorney-in-fact for Mr. Perotti 19 May 2025 0001591994

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFSI Common Stock Sale -$947,709 -9,534 -3.9% $99.4 234,991 15 May 2025 The Perotti Family Trust F1, F2
transaction PFSI Common Stock Sale -$96,518 -966 -0.41% $99.92 234,025 15 May 2025 The Perotti Family Trust F1, F3, F4
holding PFSI Common Stock 9,964 15 May 2025 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The sale reported on this Form 4 occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 27, 2024.
F2 The price reported is the weighted average price of multiple transactions at prices ranging from $98.857 to $99.836. 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 shares of beneficial interest and the prices at which the transactions were effected.
F3 The price reported is the weighted average price of multiple transactions at prices ranging from $99.863 to $99.950. 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 shares of beneficial interest and the prices at which the transactions were effected.
F4 The reported amount consists of 9,964 restricted stock units and 234,025 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.