Gregory L. Hendry - Mar 30, 2023 Form 4 Insider Report for PennyMac Financial Services, Inc. (PFSI)

Role
MD, Chief Accounting Officer
Signature
/s/ Derek W. Stark, attorney-in-fact for Mr. Hendry
Stock symbol
PFSI
Transactions as of
Mar 30, 2023
Transactions value $
-$74,444
Form type
4
Date filed
4/3/2023, 07:11 PM
Previous filing
Mar 1, 2023
Next filing
Dec 12, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFSI Common Stock Options Exercise $42.4K +2.02K +4.28% $21.03 49.2K Mar 30, 2023 Direct F1
transaction PFSI Common Stock Sale -$117K -2.02K -4.1% $57.92 47.2K Mar 30, 2023 Direct F2

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
transaction PFSI Nonstatutory Stock Option (Right to Buy) Options Exercise $0 -2.02K -100% $0.00* 0 Mar 30, 2023 Common Stock 2.02K $21.03 Direct F3
holding PFSI Nonstatutory Stock Option (Right to Buy) 3.08K Mar 30, 2023 Common Stock 3.08K $17.26 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 1.03K Mar 30, 2023 Common Stock 1.03K $60.74 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 3.03K Mar 30, 2023 Common Stock 3.03K $17.52 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 3.53K Mar 30, 2023 Common Stock 3.53K $11.28 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 2.94K Mar 30, 2023 Common Stock 2.94K $18.05 Direct
holding PFSI Nonstatutory Stock Option (Right to Buy) 2.18K Mar 30, 2023 Common Stock 2.18K $24.40 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reported amount consists of 1,017 restricted stock units and 48,183 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting
F2 The reported amount consists of 1,017 restricted stock units and 46,165 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
F3 This nonstatutory stock option to purchase 2,018 shares of 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.