Filing Details

Accession Number:
0001127602-20-021219
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-07-06 17:52:21
Reporting Period:
2020-07-01
Accepted Time:
2020-07-06 17:52:21
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1745916 Pennymac Financial Services Inc. PFSI () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1440697 Jeffrey Grogin C/O Pennymac Financial Services, Inc.
3043 Townsgate Road
Westlake Village CA 91361
Chief Enterprise Ops Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-07-01 9,225 $17.26 37,986 No 4 M Direct
Common Stock Disposition 2020-07-01 9,225 $41.40 28,761 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Nonstatutory Stock Option (Right to Buy) Disposition 2020-07-01 9,225 $0.00 9,225 $17.26
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
7,292 2015-02-26 2024-02-25 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 33,193 Indirect JBG Children's Trust utd 12/31/2000
Common Stock 22,129 Indirect MJG Children's Trust utd 12/31/2000
Common Stock 453,655 Indirect The Grogin Living Trust dtd 12-19-01
Common Stock 9,025 Indirect Grogin Giving Fund
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Nonstatutory Stock Option (Right to Buy) $24.40 2019-03-09 2028-03-08 17,204 17,204 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $22.92 2020-03-15 2029-03-14 18,057 18,057 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $17.52 2016-03-03 2025-03-02 23,829 23,829 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $18.05 2018-03-06 2027-03-05 22,506 22,506 Direct
Common Stock Nonstatutory Stock Option (Right to Buy) $35.03 2021-02-26 2030-02-25 17,824 17,824 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2028-03-08 17,204 17,204 Direct
2029-03-14 18,057 18,057 Direct
2025-03-02 23,829 23,829 Direct
2027-03-05 22,506 22,506 Direct
2030-02-25 17,824 17,824 Direct
Footnotes
  1. These shares of Common Stock were sold pursuant to a 10b5-1 plan.
  2. The reported amount consists of 12,286 restricted stock units and 25,700 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
  3. The price reported is the weighted average price of multiple transactions ranging from $41.1750 to $41.74. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.
  4. The reported amount consists of 12,286 restricted stock units and 16,475 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
  5. This nonstatutory stock option to purchase 17,204 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date.
  6. This nonstatutory stock option to purchase 18,057 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.
  7. This nonstatutory stock option to purchase 23,829 shares of 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 committed service through each date.
  8. This nonstatutory stock option to purchase 22,506 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.
  9. This nonstatutory stock option to purchase 17,824 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.