Doug Jones - Dec 31, 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
Stock symbol
PFSI
Transactions as of
Dec 31, 2021
Transactions value $
$0
Form type
5
Date filed
2/14/2022, 06:51 PM
Next filing
Feb 15, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFSI Common Stock Gift $0 -1.5K -7.25% $0.00 19.2K Dec 21, 2021 The Jones Family Trust F1
holding PFSI Common Stock 56K Dec 31, 2021 Direct
holding PFSI Common Stock 300K Dec 31, 2021 Jones A LLC
holding PFSI Common Stock 300K Dec 31, 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) 15.9K Dec 31, 2021 Common Stock 15.9K $21.03 Direct F2
holding PFSI Nonstatutory Stock Option (Right to Buy) 28.2K Dec 31, 2021 Common Stock 28.2K $17.26 Direct F3
holding PFSI Nonstatutory Stock Option (Right to Buy) 23.8K Dec 31, 2021 Common Stock 23.8K $17.52 Direct F4
holding PFSI Nonstatutory Stock Option (Right to Buy) 27.8K Dec 31, 2021 Common Stock 27.8K $11.28 Direct F5
holding PFSI Nonstatutory Stock Option (Right to Buy) 34.6K Dec 31, 2021 Common Stock 34.6K $18.05 Direct F6
holding PFSI Nonstatutory Stock Option (Right to Buy) 26.5K Dec 31, 2021 Common Stock 26.5K $24.40 Direct F7
holding PFSI Nonstatutory Stock Option (Right to Buy) 27.7K Dec 31, 2021 Common Stock 27.7K $22.92 Direct F8
holding PFSI Nonstatutory Stock Option (Right to Buy) 54K Dec 31, 2021 Common Stock 54K $59.68 Direct F9
holding PFSI Nonstatutory Stock Option (Right to Buy) 30.4K Dec 31, 2021 Common Stock 30.4K $35.03 Direct F10
holding PFSI Nonstatutory Stock Option (Right to Buy) 29.6K Dec 31, 2021 Common Stock 29.6K $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.