Form 4 for PFSI PennyMac Financial Services, Inc.
Accepted 2023-02-08 00:00:00 ET · period of report 2023-02-07 · accession 0001127602-23-004087 · 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 | 2023-02-08 | 2023-02-07+ | PFSI | Bailey Steven Richard | Chief Servicing Off | M - OptEx | $30.95 | +23.2K | 41.5K | +128% | +$719.2K |
| DM | 2023-02-08 | 2023-02-07+ | PFSI | Bailey Steven Richard | Chief Servicing Off | S - Sale+OE | $66.29 | -48.5K | 11.9K | -80% | -$3.21M |
| DM | 2023-02-08 | 2023-02-07+ | PFSI | Bailey Steven Richard | Chief Servicing Off | M - OptEx | $0.00 | -23.2K | 3,520 | -87% | $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 | 2023-02-08 | M | A | 15,403 | $35.03 | 27,317 | D | — | — | (F9) The reported amount consists of 11,914 restricted stock units and 15,403 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 2 | Common | Common Stock | 2023-02-08 | M | A | 3,520 | $22.92 | 15,434 | D | — | — | (F5) The reported amount consists of 11,914 restricted stock units and 3,520 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 | 2023-02-07 | S | D | 25,226 | $66.27 | 11,914 | D | — | — | (F2) The price reported is the weighted average price of multiple transactions ranging from $65.80 to $66.62. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected. (F4) The reported amount consists of 11,914 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 4 | Common | Common Stock | 2023-02-07 | S | D | 4,317 | $66.27 | 37,140 | D | — | — | (F2) The price reported is the weighted average price of multiple transactions ranging from $65.80 to $66.62. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected. (F3) The reported amount consists of 11,914 restricted stock units and 25,226 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 5 | Common | Common Stock | 2023-02-07 | M | A | 4,317 | $22.92 | 41,457 | D | — | — | (F1) The reported amount consists of 11,914 restricted stock units and 29,543 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 6 | Common | Common Stock | 2023-02-08 | S | D | 15,403 | $66.33 | 11,914 | D | — | — | (F10) The reported amount consists of 11,914 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 7 | Common | Common Stock | 2023-02-08 | S | D | 3,520 | $66.33 | 11,914 | D | — | — | (F7) The price reported is the weighted average price of multiple transactions ranging from $66.52 to $66.87. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected. (F6) The price reported is the weighted average price of multiple transactions ranging from $65.52 to $66.51. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected. (F8) The reported amount consists of 11,914 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 8 | Derivative | Nonstatutory Stock Option (Right to Buy) | 2023-02-08 | M | D | 15,403 | $0.00 | 7,702 | D | $35.03 · 2021-02-26 to 2030-02-25 | 15,403 Common Stock | |
| 9 | Derivative | Nonstatutory Stock Option (Right to Buy) | 2023-02-08 | M | D | 3,520 | $0.00 | 0 | D | $22.92 · 2020-03-15 to 2029-03-14 | 3,520 Common Stock | |
| 10 | Derivative | Nonstatutory Stock Option (Right to Buy) | 2023-02-07 | M | D | 4,317 | $0.00 | 3,520 | D | $22.92 · 2020-03-15 to 2029-03-14 | 4,317 Common Stock |