4//SEC Filing
Grogin Jeffrey 4
Accession 0001127602-21-000702
CIK 0001745916other
Filed
Jan 4, 7:00 PM ET
Accepted
Jan 5, 5:07 PM ET
Size
32.1 KB
Accession
0001127602-21-000702
Insider Transaction Report
Form 4
Grogin Jeffrey
Chief Enterprise Ops Officer
Transactions
- Exercise/Conversion
Common Stock
2021-01-04$18.05/sh+7,502$135,411→ 36,263 total - Exercise/Conversion
Common Stock
2021-01-04$22.92/sh+6,019$137,955→ 42,282 total - Sale
Common Stock
2021-01-04$60.63/sh−3,652$221,439→ 38,630 total - Exercise/Conversion
Nonstatutory Stock Option (Right to Buy)
2021-01-04−6,019→ 12,038 totalExercise: $22.92From: 2020-03-15Exp: 2029-03-14→ Common Stock (6,019 underlying) - Sale
Common Stock
2021-01-04$61.63/sh−2,670$164,559→ 35,960 total - Sale
Common Stock
2021-01-04$63.70/sh−1,225$78,028→ 31,335 total - Sale
Common Stock
2021-01-04$65.46/sh−800$52,371→ 29,361 total - Sale
Common Stock
2021-01-04$66.27/sh−600$39,762→ 28,761 total - Exercise/Conversion
Nonstatutory Stock Option (Right to Buy)
2021-01-04−7,502→ 0 totalExercise: $18.05From: 2018-03-06Exp: 2027-03-05→ Common Stock (7,502 underlying) - Sale
Common Stock
2021-01-04$62.79/sh−3,400$213,471→ 32,560 total - Sale
Common Stock
2021-01-04$64.58/sh−1,174$75,814→ 30,161 total
Holdings
- 21,000(indirect: By Trust)
Common Stock
- 453,655(indirect: By Trust)
Common Stock
- 17,204
Nonstatutory Stock Option (Right to Buy)
Exercise: $24.40From: 2019-03-09Exp: 2028-03-08→ Common Stock (17,204 underlying) - 9,025(indirect: Grogin Giving Fund)
Common Stock
- 17,824
Nonstatutory Stock Option (Right to Buy)
Exercise: $35.03From: 2021-02-26Exp: 2030-02-25→ Common Stock (17,824 underlying) - 22,129(indirect: By Trust)
Common Stock
Footnotes (21)
- [F1]The transaction reported was effected pursuant to a 10b5-1 plan.
- [F10]The reported amount consists of 11,926 restricted stock units and 20,634 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- [F11]The price reported is the weighted average price of multiple transactions ranging from $63.20 to $64.09. 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.
- [F12]The reported amount consists of 11,926 restricted stock units and 19,409 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- [F13]The price reported is the weighted average price of multiple transactions ranging from $64.24 to $65.03. 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.
- [F14]The reported amount consists of 11,926 restricted stock units and 18,235 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- [F15]The price reported is the weighted average price of multiple transactions ranging from $65.11 to $65.70. 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.
- [F16]The reported amount consists of 11,926 restricted stock units and 17,435 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- [F17]The reported amount consists of 11,926 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- [F18]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.
- [F19]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.
- [F2]The reported amount consists of 11,926 restricted stock units and 24,337 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- [F20]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.
- [F21]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.
- [F3]The reported amount consists of 11,926 restricted stock units and 30,356 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- [F4]These shares of Common Stock were sold pursuant to a 10b5-1 plan.
- [F5]The price reported is the weighted average price of multiple transactions ranging from $60.10 to $61.07. 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.
- [F6]The reported amount consists of 11,926 restricted stock units and 26,704 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- [F7]The price reported is the weighted average price of multiple transactions ranging from $61.105 to $62.08. 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.
- [F8]The reported amount consists of 11,926 restricted stock units and 24,034 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- [F9]The price reported is the weighted average price of multiple transactions ranging from $62.10 to $63.07. 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.
Documents
Issuer
PennyMac Financial Services, Inc.
CIK 0001745916
Entity typeother
Related Parties
1- filerCIK 0001440697
Filing Metadata
- Form type
- 4
- Filed
- Jan 4, 7:00 PM ET
- Accepted
- Jan 5, 5:07 PM ET
- Size
- 32.1 KB