| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Jones Doug | Director, President & CMBO, Director | C/O PENNYMAC FINANCIAL SERVICES, INC., 3043 TOWNSGATE ROAD, WESTLAKE VILLAGE | /s/ Derek W. Stark, attorney-in-fact for Mr. Jones | 2025-11-07 | 0001544302 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | PFSI | Common Stock | Options Exercise | $48.7K | +4.32K | +22.66% | $11.28 | 23.4K | Nov 5, 2025 | Direct | F1 |
| transaction | PFSI | Common Stock | Sale | -$544K | -4.32K | -18.47% | $126.09 | 19.1K | Nov 5, 2025 | Direct | F2, F3 |
| holding | PFSI | Common Stock | 15.3K | Nov 5, 2025 | The Jones Family Trust | ||||||
| holding | PFSI | Common Stock | 450K | Nov 5, 2025 | GR Family Investments 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 | -4.32K | -15.55% | $0.00 | 23.5K | Nov 5, 2025 | Common Stock | 4.32K | $11.28 | Direct | F4 |
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 34.6K | Nov 5, 2025 | Common Stock | 34.6K | $18.05 | Direct | F5 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 26.5K | Nov 5, 2025 | Common Stock | 26.5K | $24.40 | Direct | F6 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 27.7K | Nov 5, 2025 | Common Stock | 27.7K | $22.92 | Direct | F7 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 54K | Nov 5, 2025 | Common Stock | 54K | $59.68 | Direct | F8 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 30.4K | Nov 5, 2025 | Common Stock | 30.4K | $35.03 | Direct | F9 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 29.6K | Nov 5, 2025 | Common Stock | 29.6K | $58.85 | Direct | F10 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 54.1K | Nov 5, 2025 | Common Stock | 54.1K | $57.10 | Direct | F11 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 25.7K | Nov 5, 2025 | Common Stock | 25.7K | $60.74 | Direct | F12 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 27K | Nov 5, 2025 | Common Stock | 27K | $84.93 | Direct | F13 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 21.5K | Nov 5, 2025 | Common Stock | 21.5K | $101.76 | Direct | F14 |
| Id | Content |
|---|---|
| F1 | The reported amount consists of 19,056 restricted stock units and 4,318 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 $126.00 to $126.45. 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 reported amount consists of 19,056 restricted stock units which are to be settled in an equal number of shares of Common Stock upon vesting. |
| F4 | This nonstatutory stock option to purchase 27,771 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. |
| F5 | This nonstatutory stock option to purchase 34,626 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 continued service through each date. |
| F6 | This nonstatutory stock option to purchase 26,467 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 continued service through each date. |
| F7 | This nonstatutory stock option to purchase 27,744 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. |
| F8 | This nonstatutory stock option to purchase 54,024 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. |
| F9 | This nonstatutory stock option to purchase 30,366 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. |
| F10 | This nonstatutory stock option to purchase 29,566 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. |
| F11 | This nonstatutory stock option to purchase 54,063 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. |
| F12 | This nonstatutory stock option to purchase 25,724 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. |
| F13 | This nonstatutory stock option to purchase 27,044 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 committed service through each date. |
| F14 | This nonstatutory stock option to purchase 21,456 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. |