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PennyMac Financial Services, Inc. — Director's Dealing 2020
Mar 7, 2020
30869_dirs_2020-03-06_373ca5f2-4a26-4bc6-a31b-0dab26d5b74b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PennyMac Financial Services, Inc. (PFSI)
CIK: 0001745916
Period of Report: 2020-03-04
Reporting Person: MCCALLION ANNE (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-03-04 | Common Stock | S | 3100 | $37.3626 | Disposed | 215820 | Indirect |
| 2020-03-04 | Common Stock | S | 1900 | $38.1648 | Disposed | 213920 | Indirect |
| 2020-03-05 | Common Stock | S | 4000 | $37.5561 | Disposed | 209920 | Indirect |
| 2020-03-05 | Common Stock | S | 1000 | $38.3775 | Disposed | 208920 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14985 | Direct |
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: These shares of Common Stock were sold pursuant to a 10b5-1 plan.
F2: The price reported is the weighted average price of multiple transactions ranging from $36.90 to $37.79. 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 price reported is the weighted average price of multiple transactions ranging from $37.93 to $38.485. 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.
F4: The price reported is the weighted average price of multiple transactions ranging from $37.145 to $38.13. 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.
F5: The price reported is the weighted average price of multiple transactions ranging from $38.14 to $38.60. 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.
F6: The reported amount consists of 14,985 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
F7: 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.
F8: 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.
F9: 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.
F10: 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.
F11: 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.
F12: 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.