Form 4 for PFSI PennyMac Financial Services, Inc.
Accepted 2023-12-12 00:00:00 ET · period of report 2023-12-08 · accession 0001127602-23-029505 · 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 | 2023-12-12 | 2023-12-08+ | PFSI | Bailey Steven Richard | Chief Servicing Off | S - Sale+OE | $80.16 | -23.9K | 24.8K | -49% | -$1.92M |
| DM | 2023-12-12 | 2023-12-08+ | PFSI | Bailey Steven Richard | Chief Servicing Off | M - OptEx | $50.62 | +23.9K | 16.6K | New | +$1.21M |
| DM | 2023-12-12 | 2023-12-08+ | PFSI | Bailey Steven Richard | Chief Servicing Off | M - OptEx | $0.00 | -23.9K | 4,312 | -85% | $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 | 2023-12-11 | S | D | 300 | $80.00 | 8,900 | D | — | — | |
| 2 | Common | Common Stock | 2023-12-08 | S | D | 7,289 | $80.16 | 8,900 | D | — | — | (F4) The price reported is the weighted average price of multiple transactions ranging from $79.87 to $80.23. 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. |
| 3 | Common | Common Stock | 2023-12-11 | M | A | 300 | $57.10 | 9,200 | D | — | — | (F5) The reported amount consists of 8,900 restricted stock units and 300 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 | 2023-12-08 | S | D | 8,623 | $80.16 | 16,189 | D | — | — | (F4) The price reported is the weighted average price of multiple transactions ranging from $79.87 to $80.23. 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. |
| 5 | Common | Common Stock | 2023-12-08 | S | D | 7,702 | $80.16 | 24,812 | D | — | — | (F4) The price reported is the weighted average price of multiple transactions ranging from $79.87 to $80.23. 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. |
| 6 | Common | Common Stock | 2023-12-08 | M | A | 7,289 | $57.10 | 32,514 | D | — | — | (F3) The reported amount consists of 8,900 restricted stock units and 23,614 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 7 | Common | Common Stock | 2023-12-08 | M | A | 8,623 | $58.85 | 25,225 | D | — | — | (F2) The reported amount consists of 8,900 restricted stock units and 16,325 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 8 | Common | Common Stock | 2023-12-08 | M | A | 7,702 | $35.03 | 16,602 | D | — | — | (F1) The reported amount consists of 8,900 restricted stock units and 7,702 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| 9 | Derivative | Nonstatutory Stock Option (Right to Buy) | 2023-12-08 | M | D | 7,702 | $0.00 | 0 | D | $35.03 · 2021-02-26 to 2030-02-25 | 7,702 Common Stock | |
| 10 | Derivative | Nonstatutory Stock Option (Right to Buy) | 2023-12-11 | M | D | 300 | $0.00 | 15,180 | D | $57.10 · 2023-02-23 to 2032-02-22 | 300 Common Stock | |
| 11 | Derivative | Nonstatutory Stock Option (Right to Buy) | 2023-12-08 | M | D | 7,289 | $0.00 | 15,480 | D | $57.10 · 2023-02-23 to 2032-02-22 | 7,289 Common Stock | |
| 12 | Derivative | Nonstatutory Stock Option (Right to Buy) | 2023-12-08 | M | D | 8,623 | $0.00 | 4,312 | D | $58.85 · 2022-02-25 to 2031-02-24 | 8,623 Common Stock |