DAVID SPECTOR - 07 Jul 2025 Form 4 Insider Report for PennyMac Financial Services, Inc. (PFSI)

Role
Chairman & CEO, Director
Signature
/s/ Derek W. Stark, attorney-in-fact for Mr. Spector
Issuer symbol
PFSI
Transactions as of
07 Jul 2025
Net transactions value
-$504,048
Form type
4
Filing time
08 Jul 2025, 18:39:04 UTC
Previous filing
12 Jun 2025
Next filing
28 Jul 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
SPECTOR DAVID Chairman & CEO, Director C/O PENNYMAC FINANCIAL SERVICES, INC., 3043 TOWNSGATE ROAD, WESTLAKE VILLAGE /s/ Derek W. Stark, attorney-in-fact for Mr. Spector 08 Jul 2025 0001275713

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PFSI Common Stock Sale $358,814 -3,571 -2.5% $100.48 137,033 07 Jul 2025 ST Family Investment Company LLC F1, F2
transaction PFSI Common Stock Sale $124,248 -1,224 -0.89% $101.51 135,809 07 Jul 2025 ST Family Investment Company LLC F1, F3
transaction PFSI Common Stock Sale $20,986 -205 -0.15% $102.37 135,604 07 Jul 2025 ST Family Investment Company LLC F1, F4
holding PFSI Common Stock 602,859 07 Jul 2025 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The sales reported in the Form 4 occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 2, 2024.
F2 The price reported is the weighted average price of multiple transactions ranging from $100.055 to $101.03. 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.
F3 The price reported is the weighted average price of multiple transactions ranging from $101.05 to $102.02. 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.
F4 The price reported is the weighted average price of multiple transactions ranging from $102.06 to $102.635. 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.
F5 The reported amount consists of 36,299 restricted stock units and 566,560 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.