PennyMac Financial Services, Inc. — Director's Dealing 2020

Mar 26, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: PennyMac Financial Services, Inc. (PFSI)
CIK: 0001745916
Period of Report: 2020-03-23

Reporting Person: MCCALLION ANNE (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-03-23	Common Stock	G	19686	—	Disposed	5205	Direct
2020-03-23	Common Stock	G	19686	—	Acquired	228606	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Nonstatutory Stock Option (Right to Buy)	$21.03	2023-06-12	Common Stock (15882)	15882	Direct
Nonstatutory Stock Option (Right to Buy)	$17.26	2024-02-25	Common Stock (28216)	28216	Direct
Nonstatutory Stock Option (Right to Buy)	$17.52	2025-03-02	Common Stock (23829)	23829	Direct
Nonstatutory Stock Option (Right to Buy)	$11.28	2026-03-06	Common Stock (27771)	27771	Direct
Nonstatutory Stock Option (Right to Buy)	$18.05	2027-03-05	Common Stock (22506)	22506	Direct
Nonstatutory Stock Option (Right to Buy)	$24.40	2028-03-08	Common Stock (17204)	17204	Direct

Footnotes

F1: The Reporting Person transferred 19,686 shares of Common Stock held by the Reporting Person to a family trust, of which the Reporting Person is a trustee.

F2: The reported amount consists of 5,205 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

F3: This nonstatutory stock option to purchase 15,882 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.

F4: This nonstatutory stock option to purchase 28,216 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date.

F5: 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.

F6: This nonstatutory stock option to purchase 27,771 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.

F7: 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.

F8: 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 of March 9, 2019, 2020 and 2021, subject to the Reporting Person's committed service through each date.