Form 4 for PFSI PennyMac Financial Services, Inc.
Accepted 2023-03-01 00:00:00 ET · period of report 2023-02-27 · accession 0001127602-23-008034 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2023-03-01 | 2023-02-27 | PFSI | SPECTOR DAVID | COB, CEO, Dir | F - Tax | $60.74 | -4,573 | 690.2K | -0.7% | -$277.8K | |
| I | 2023-03-01 | 2023-02-27 | PFSI | SPECTOR DAVID | COB, CEO, Dir | S - Sale | $60.80 | -15.0K | 450.6K | -3% | -$912.0K |
| M | 2023-03-01 | 2023-02-28+ | PFSI | SPECTOR DAVID | COB, CEO, Dir | S - Sale | $60.09 | -40.1K | 676.4K | -6% | -$2.41M |
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 | 2023-02-27 | F | D | 4,573 | $60.74 | 690,244 | D ST Family Investment Company LLC | — | — | (F1) Represents shares withheld for taxes upon vesting of restricted stock units. (F2) The reported amount consists of 50,153 restricted stock units and 640,091 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 | 2023-02-27 | S | D | 15,000 | $60.80 | 450,604 | I | — | — | (F3) These shares of Common Stock were sold pursuant to a 10b5-1 plan. |
| 3 | Common | Common Stock | 2023-03-01 | S | D | 528 | $61.29 | 650,183 | D | — | — | (F3) These shares of Common Stock were sold pursuant to a 10b5-1 plan. (F7) The price reported is the weighted average price of multiple transactions ranging from $61.22 to $61.40. 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. (F8) The reported amount consists of 50,153 restricted stock units and 600,030 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 | 2023-03-01 | S | D | 25,641 | $60.63 | 650,711 | D | — | — | (F3) These shares of Common Stock were sold pursuant to a 10b5-1 plan. (F5) The price reported is the weighted average price of multiple transactions ranging from $60.20 to $61.16. 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. (F6) The reported amount consists of 50,153 restricted stock units and 590,558 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 | 2023-02-28 | S | D | 13,892 | $59.04 | 676,352 | D | — | — | (F3) These shares of Common Stock were sold pursuant to a 10b5-1 plan. (F4) The reported amount consists of 50,153 restricted stock units and 626,199 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |