| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| SPECTOR DAVID | Chairman & CEO, Director | C/O PENNYMAC FINANCIAL SERVICES, INC., 3043 TOWNSGATE ROAD, WESTLAKE VILLAGE | /s/ Derek W. Stark, attorney-in-fact for Mr. Spector | 2025-10-27 | 0001275713 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | PFSI | Common Stock | Options Exercise | $9.11M | +71.2K | +12.31% | $128.05 | 649K | Oct 23, 2025 | Direct | F1 |
| transaction | PFSI | Common Stock | Sale | -$1.8M | -14.2K | -2.18% | $127.07 | 635K | Oct 23, 2025 | Direct | F2 |
| transaction | PFSI | Common Stock | Sale | -$3.39M | -26.5K | -4.17% | $127.92 | 608K | Oct 23, 2025 | Direct | F3 |
| transaction | PFSI | Common Stock | Sale | -$3.92M | -30.5K | -5.01% | $128.66 | 578K | Oct 23, 2025 | Direct | F4, F5 |
| holding | PFSI | Common Stock | 121K | Oct 23, 2025 | ST Family Investment Company LLC |
| 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 | -71.2K | -100% | $0.00 | 0 | Oct 23, 2025 | Common Stock | 71.2K | $11.28 | Direct | F6 |
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 69.3K | Oct 23, 2025 | Common Stock | 69.3K | $18.05 | Direct | F7 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 52.9K | Oct 23, 2025 | Common Stock | 52.9K | $24.40 | Direct | F8 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 55.5K | Oct 23, 2025 | Common Stock | 55.5K | $22.92 | Direct | F9 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 140K | Oct 23, 2025 | Common Stock | 140K | $59.68 | Direct | F10 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 59.5K | Oct 23, 2025 | Common Stock | 59.5K | $35.03 | Direct | F11 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 53.6K | Oct 23, 2025 | Common Stock | 53.6K | $58.85 | Direct | F12 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 120K | Oct 23, 2025 | Common Stock | 120K | $57.10 | Direct | F13 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 46.3K | Oct 23, 2025 | Common Stock | 46.3K | $60.74 | Direct | F14 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 46.2K | Oct 23, 2025 | Common Stock | 46.2K | $84.93 | Direct | F15 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 45.4K | Oct 23, 2025 | Common Stock | 45.4K | $101.76 | Direct | F16 |
| Id | Content |
|---|---|
| F1 | The reported amount consists of 36,299 restricted stock units and 612,721 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 $126.405 to $127.395. 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 $127.40 to $128.39. 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 price reported is the weighted average price of multiple transactions ranging from $128.40 to $129.06. 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. |
| F5 | The reported amount consists of 36,299 restricted stock units and 541,560 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| F6 | This nonstatutory stock option to purchase 71,161 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. |
| F7 | This nonstatutory stock option to purchase 69,252 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. |
| F8 | This nonstatutory stock option to purchase 52,935 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. |
| F9 | This nonstatutory stock option to purchase 55,488 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. |
| F10 | This nonstatutory stock option to purchase 140,464 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 lapse date. |
| F11 | This nonstatutory stock option to purchase 59,466 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. |
| F12 | This nonstatutory stock option to purchase 53,589 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. |
| F13 | This nonstatutory stock option to purchase 119,730 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. |
| F14 | This nonstatutory stock option to purchase 46,303 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 committed service through each date. |
| F15 | This nonstatutory stock option to purchase 46,177 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. |
| F16 | This nonstatutory stock option to purchase 45,419 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 continued service through each date. |