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Filing Details

Accession Number:: 0001127602-23-029738
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-12-15 20:43:58
Reporting Period:: 2023-12-14

Accepted Time:: 2023-12-15 20:43:58
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
1198631	Derek Stark	C/O Pennymac Financial Services, Inc. 3043 Townsgate Road Westlake Village CA 91361	Chief Legal 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	Explanation
Common Stock	Acquisiton	2023-12-14	6,925	$18.05	35,136	No	4	M	Direct
Common Stock	Disposition	2023-12-14	6,925	$89.92	28,211	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

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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	2023-12-14	6,925	$0.00	6,925	$18.05

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

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)	$57.10	2023-02-23	2032-02-22	20,967	20,967	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$60.74	2024-02-24	2033-02-23	7,202	7,202	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$24.40	2019-03-09	2028-03-08	7,684	7,684	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$22.92	2020-03-15	2029-03-14	8,086	8,086	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$59.68	2020-12-14	2030-12-13	13,506	13,506	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$35.03	2021-02-26	2030-02-25	11,882	11,882	Direct
Common Stock	Nonstatutory Stock Option (Right to Buy)	$58.85	2022-02-25	2031-02-24	6,652	6,652	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2032-02-22	20,967	20,967	Direct
2033-02-23	7,202	7,202	Direct
2028-03-08	7,684	7,684	Direct
2029-03-14	8,086	8,086	Direct
2030-12-13	13,506	13,506	Direct
2030-02-25	11,882	11,882	Direct
2031-02-24	6,652	6,652	Direct

Footnotes

The reported amount consists of 8,211 restricted stock units and 26,925 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 $89.36 to $90.00. 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.
The price reported is the weighted average price of multiple transactions ranging from $90.01 to $90.63. 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.
The reported amount consists of 8,211 restricted stock units and 20,000 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 6,925 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 20,967 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 23, 2023, 2024 and 2025, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 7,202 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.
This nonstatutory stock option to purchase 7,684 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.
This nonstatutory stock option to purchase 8,086 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 13,506 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in one-third increments on each of December 14, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each lapse date.
This nonstatutory stock option to purchase 11,882 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.
This nonstatutory stock option to purchase 6,652 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date.