| 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 | 2025-10-24 | 0001591994 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | PFSI | Common Stock | Options Exercise | $53.7K | +4.76K | +47.8% | $11.28 | 14.7K | Oct 22, 2025 | Direct | F1 |
| transaction | PFSI | Common Stock | Sale | -$493K | -3.78K | -25.69% | $130.30 | 10.9K | Oct 22, 2025 | Direct | F2 |
| transaction | PFSI | Common Stock | Sale | -$105K | -797 | -7.28% | $131.96 | 10.1K | Oct 22, 2025 | Direct | F3 |
| transaction | PFSI | Common Stock | Sale | -$5.45K | -41 | -0.4% | $132.91 | 10.1K | Oct 22, 2025 | Direct | F4 |
| transaction | PFSI | Common Stock | Sale | -$18.9K | -141 | -1.4% | $133.99 | 9.96K | Oct 22, 2025 | Direct | F5 |
| transaction | PFSI | Common Stock | Options Exercise | $151K | +8.35K | +83.77% | $18.05 | 18.3K | Oct 22, 2025 | Direct | F6 |
| transaction | PFSI | Common Stock | Sale | -$842K | -6.47K | -35.33% | $130.19 | 11.8K | Oct 22, 2025 | Direct | F7 |
| transaction | PFSI | Common Stock | Sale | -$49.9K | -379 | -3.2% | $131.54 | 11.5K | Oct 22, 2025 | Direct | F8 |
| transaction | PFSI | Common Stock | Sale | -$158K | -1.2K | -10.42% | $132.38 | 10.3K | Oct 22, 2025 | Direct | F9 |
| transaction | PFSI | Common Stock | Sale | -$40.7K | -304 | -2.96% | $133.99 | 9.96K | Oct 22, 2025 | Direct | F10, F11 |
| holding | PFSI | Common Stock | 225K | Oct 22, 2025 | The Perotti Family Trust |
| 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 | -4.76K | -28.67% | $0.00 | 11.9K | Oct 22, 2025 | Common Stock | 4.76K | $11.28 | Direct | F12 |
| transaction | PFSI | Nonstatutory Stock Option (Right to Buy) | Options Exercise | $0 | -8.35K | -37.09% | $0.00 | 14.2K | Oct 22, 2025 | Common Stock | 8.35K | $18.05 | Direct | F13 |
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 17.2K | Oct 22, 2025 | Common Stock | 17.2K | $24.40 | Direct | F14 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 18.1K | Oct 22, 2025 | Common Stock | 18.1K | $22.92 | Direct | F15 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 13.5K | Oct 22, 2025 | Common Stock | 13.5K | $59.68 | Direct | F16 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 23.1K | Oct 22, 2025 | Common Stock | 23.1K | $35.03 | Direct | F17 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 12.9K | Oct 22, 2025 | Common Stock | 12.9K | $58.85 | Direct | F18 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 35.8K | Oct 22, 2025 | Common Stock | 35.8K | $57.10 | Direct | F19 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 12.9K | Oct 22, 2025 | Common Stock | 12.9K | $60.74 | Direct | F20 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 12.5K | Oct 22, 2025 | Common Stock | 12.5K | $84.93 | Direct | F21 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 12.5K | Oct 22, 2025 | Common Stock | 12.5K | $101.76 | Direct | F22 |
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).
| Id | Content |
|---|---|
| F1 | The reported amount consists of 9,964 restricted stock units and 4,763 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 at prices ranging from $130.00 to $130.38. 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 $131.417 to $132.393. 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 price reported is the weighted average price of multiple transactions at prices ranging from $132.47 to $133.363. 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. |
| F5 | The price reported is the weighted average price of multiple transactions at prices ranging from $133.996 to $134.00. 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. |
| F6 | The reported amount consists of 9,964 restricted stock units and 8,347 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| F7 | The price reported is the weighted average price of multiple transactions at prices ranging from $130.00 to $130.95. 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. |
| F8 | The price reported is the weighted average price of multiple transactions at prices ranging from $131.04 to $131.882 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. |
| F9 | The price reported is the weighted average price of multiple transactions at prices ranging from $132.13 to $132.652 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. |
| F10 | The price reported is the weighted average price of multiple transactions at prices ranging from $133.992 to $134.00 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. |
| F11 | The reported amount consists of 9,964 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| F12 | This nonstatutory stock option to purchase 4,763 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. |
| F13 | This nonstatutory stock option to purchase 8,347 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. |
| F14 | This nonstatutory stock option to purchase 17,204 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. |
| F15 | This nonstatutory stock option to purchase 18,098 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. |
| F16 | This nonstatutory stock option to purchase 13,506 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in one-third increments on each of December 14, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date. |
| F17 | This nonstatutory stock option to purchase 23,105 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. |
| F18 | This nonstatutory stock option to purchase 12,935 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. |
| F19 | This nonstatutory stock option to purchase 35,792 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. |
| F20 | This nonstatutory stock option to purchase 12,862 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. |
| F21 | This nonstatutory stock option to purchase 12,510 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's continued service through each date. |
| F22 | This nonstatutory stock option to purchase 12,529 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 14, 2026, 2027 and 2028, subject to the Reporting Person's committed service through each date. |