| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Hendry Gregory L | MD, Chief Accounting Officer | C/O PENNYMAC FINANCIAL SERVICES, INC., 3043 TOWNSGATE ROAD, WESTLAKE VILLAGE | /s/ Derek W. Stark, attorney-in-fact for Mr. Hendry | 19 Dec 2025 | 0001486334 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | PFSI | Common Stock | Options Exercise | $39,818 | +3,530 | +7.3% | $11.28 | 52,163 | 18 Dec 2025 | Direct | F1 |
| transaction | PFSI | Common Stock | Sale | $464,689 | -3,530 | -6.8% | $131.64 | 48,633 | 18 Dec 2025 | Direct | F2, F3 |
| 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 | -3,530 | -100% | $0.000000 | 0 | 18 Dec 2025 | Common Stock | 3,530 | $11.28 | Direct | F4 |
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 2,943 | 18 Dec 2025 | Common Stock | 2,943 | $18.05 | Direct | F5 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 2,177 | 18 Dec 2025 | Common Stock | 2,177 | $24.40 | Direct | F6 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 1,028 | 18 Dec 2025 | Common Stock | 1,028 | $60.74 | Direct | F7 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 735 | 18 Dec 2025 | Common Stock | 735 | $84.93 | Direct | F8 | |||||
| holding | PFSI | Nonstatutory Stock Option (Right to Buy) | 626 | 18 Dec 2025 | Common Stock | 626 | $101.76 | Direct | F9 |
| Id | Content |
|---|---|
| F1 | The reported amount consists of 1,069 restricted stock units and 51,094 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 price reported is the weighted average price of multiple transactions ranging from $131.61 to $131.70. 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 reported amount consists of 1,069 restricted stock units and 47,564 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| F4 | This nonstatutory stock option to purchase 3,530 shares of 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 committed service through each date. |
| F5 | This nonstatutory stock option to purchase 2,943 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 committed service through each date. |
| F6 | This nonstatutory stock option to purchase 2,177 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 committed service through each date. |
| F7 | This nonstatutory stock option to purchase 1,028 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 24, 2024, 2025 and 2026, subject to the Reporting Person's continued service through each date. |
| F8 | This non-statutory stock option to purchase 735 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's continued service through that date. |
| F9 | This nonstatutory stock option to purchase 626 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 14, 2026, 2027 and 2028, subject to the Reporting Person's continued service through each date. |