Doug Jones - 31 Dec 2021 Form 5 Insider Report for PennyMac Financial Services, Inc. (PFSI)

Role: President & Chief Mtg Bkg Ofcr
Signature: /s/ Derek W. Stark, attorney-in-fact for Mr. Jones
Issuer symbol: PFSI
Transactions as of: 31 Dec 2021
Net transactions value: $0
Form type: 5
Filing time: 14 Feb 2022, 18:51:33 UTC
Next filing: 15 Feb 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	PFSI	Common Stock	Gift	$0	-1,500	-7.2%	$0.000000	19,192	21 Dec 2021	The Jones Family Trust	F1
holding	PFSI	Common Stock						55,995	31 Dec 2021	Direct
holding	PFSI	Common Stock						300,000	31 Dec 2021	Jones A LLC
holding	PFSI	Common Stock						300,000	31 Dec 2021	Jones B LLC

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						15,882	31 Dec 2021	Common Stock	15,882	$21.03	Direct	F2
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						28,216	31 Dec 2021	Common Stock	28,216	$17.26	Direct	F3
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						23,829	31 Dec 2021	Common Stock	23,829	$17.52	Direct	F4
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						27,771	31 Dec 2021	Common Stock	27,771	$11.28	Direct	F5
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						34,626	31 Dec 2021	Common Stock	34,626	$18.05	Direct	F6
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						26,467	31 Dec 2021	Common Stock	26,467	$24.40	Direct	F7
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						27,744	31 Dec 2021	Common Stock	27,744	$22.92	Direct	F8
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						54,024	31 Dec 2021	Common Stock	54,024	$59.68	Direct	F9
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						30,366	31 Dec 2021	Common Stock	30,366	$35.03	Direct	F10
holding	PFSI	Nonstatutory Stock Option (Right to Buy)						29,566	31 Dec 2021	Common Stock	29,566	$58.85	Direct	F11

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Represents a bona fide gift of shares to a charitable organization.
F2	This nonstatutory stock option to purchase 15,882 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.
F3	This nonstatutory stock option to purchase 28,216 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date.
F4	This nonstatutory stock option to purchase 23,829 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's continued service through each date.
F5	This nonstatutory stock option to purchase 27,771 shares of Class A 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 continued service through each date.
F6	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.
F7	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.
F8	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.
F9	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, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse date.
F10	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.
F11	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.