Form 4 for PFSI PennyMac Financial Services, Inc.
Accepted 2023-01-03 00:00:00 ET · period of report 2022-12-29 · accession 0001127602-23-000218 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-01-03 | 2022-12-29+ | PFSI | Fartaj Vandad | CIO | S - Sale+OE | $56.72 | -15.9K | 96.1K | -14% | -$900.8K |
| DM | 2023-01-03 | 2022-12-29+ | PFSI | Fartaj Vandad | CIO | M - OptEx | $21.03 | +15.9K | 103.6K | +18% | +$334.0K |
| DM | 2023-01-03 | 2022-12-29+ | PFSI | Fartaj Vandad | CIO | M - OptEx | $0.00 | -15.9K | 7,500 | -68% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-12-29 | S | D | 8,382 | $57.22 | 96,134 | D | — | — | (F2) The price reported is the weighted average price of multiple transactions ranging from $57.02 to $57.62. 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. |
| 2 | Common | Common Stock | 2022-12-29 | M | A | 8,382 | $21.03 | 104,516 | D | — | — | (F1) The reported amount consists of 18,444 restricted stock units and 86,072 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 3 | Common | Common Stock | 2022-12-30 | S | D | 7,500 | $56.16 | 96,134 | D | — | — | (F4) The price reported is the weighted average price of multiple transactions ranging from $56.00 to $56.23. 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 18,444 restricted stock units and 77,690 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 4 | Common | Common Stock | 2022-12-30 | M | A | 7,500 | $21.03 | 103,634 | D | — | — | (F3) The reported amount consists of 18,444 restricted stock units and 85,190 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 5 | Derivative | Nonstatutory Stock Option (Right to Buy) | 2022-12-30 | M | D | 7,500 | $0.00 | 0 | D | $21.03 · 2014-06-13 to 2023-06-12 | 7,500 Common Stock | |
| 6 | Derivative | Nonstatutory Stock Option (Right to Buy) | 2022-12-29 | M | D | 8,382 | $0.00 | 7,500 | D | $21.03 · 2014-06-13 to 2023-06-12 | 8,382 Common Stock |