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Filing Details

Accession Number:: 0001127602-20-028045
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-11-03 17:30:23
Reporting Period:: 2020-11-02

Accepted Time:: 2020-11-03 17:30:23
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2020-11-02	3,446	$17.52	32,207	No	4	M	Direct
Common Stock	Acquisiton	2020-11-02	5,779	$18.05	37,986	No	4	M	Direct
Common Stock	Disposition	2020-11-02	6,325	$51.08	31,661	No	4	S	Direct
Common Stock	Disposition	2020-11-02	2,900	$51.67	28,761	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Nonstatutory Stock Option (Right to Buy)	Disposition	2020-11-02	3,446	$0.00	3,446	$17.52
Common Stock	Nonstatutory Stock Option (Right to Buy)	Disposition	2020-11-02	5,779	$0.00	5,779	$18.05

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2016-03-03	2025-03-02	No	4	M	Direct
16,727	2018-03-06	2027-03-05	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	21,000	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

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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)	$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
2030-02-25	17,824	17,824	Direct

Footnotes

The transaction reported was effected pursuant to a 10b5-1 plan.
The reported amount consists of 12,286 restricted stock units and 19,921 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
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.
These shares of Common Stock were sold pursuant to a 10b5-1 plan.
The price reported is the weighted average price of multiple transactions ranging from $50.50 to $51.47. 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.
The reported amount consists of 12,286 restricted stock units and 19,375 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
The price reported is the weighted average price of multiple transactions ranging from $51.50 to $51.94. 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.
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.
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.
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.
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.
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.
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.