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4//SEC Filing

Fartaj Vandad 4

Accession 0001127602-23-000218

CIK 0001745916other
View on SEC.govCompany Profile

Filed

Jan 2, 7:00 PM ET

Accepted

Jan 3, 8:06 PM ET

Size

30.9 KB

Accession

0001127602-23-000218

Insider Transaction Report

Form 4
Period: 2022-12-29
PennyMac Financial Services, Inc.PFSI
Fartaj Vandad
Chief Investment Officer
Transactions
  • Exercise/Conversion

    Common Stock

    2022-12-29$21.03/sh+8,382$176,273→ 104,516 total
  • Exercise/Conversion

    Common Stock

    2022-12-30$21.03/sh+7,500$157,725→ 103,634 total
  • Sale

    Common Stock

    2022-12-30$56.16/sh−7,500$421,164→ 96,134 total
  • Exercise/Conversion

    Nonstatutory Stock Option (Right to Buy)

    2022-12-29−8,382→ 7,500 total
    Exercise: $21.03From: 2014-06-13Exp: 2023-06-12→ Common Stock (8,382 underlying)
  • Sale

    Common Stock

    2022-12-29$57.22/sh−8,382$479,598→ 96,134 total
  • Exercise/Conversion

    Nonstatutory Stock Option (Right to Buy)

    2022-12-30−7,500→ 0 total
    Exercise: $21.03From: 2014-06-13Exp: 2023-06-12→ Common Stock (7,500 underlying)
Holdings

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $35.03From: 2021-02-26Exp: 2030-02-25→ Common Stock (23,765 underlying)
    23,765

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $18.05From: 2018-03-06Exp: 2027-03-05→ Common Stock (27,700 underlying)
    27,700

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $22.92From: 2020-03-15Exp: 2029-03-14→ Common Stock (22,496 underlying)
    22,496

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $57.10From: 2023-02-23Exp: 2032-02-22→ Common Stock (39,722 underlying)
    39,722

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $58.85From: 2022-02-25Exp: 2031-02-24→ Common Stock (17,000 underlying)
    17,000

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $17.52From: 2016-03-03Exp: 2025-03-02→ Common Stock (23,829 underlying)
    23,829

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $24.40From: 2019-03-09Exp: 2028-03-08→ Common Stock (21,174 underlying)
    21,174

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $59.68From: 2020-12-14Exp: 2030-12-13→ Common Stock (54,024 underlying)
    54,024

  • Common Stock

    (indirect: By Trust)
    844,959

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $17.26From: 2015-02-26Exp: 2024-02-25→ Common Stock (28,216 underlying)
    28,216

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $11.28From: 2017-03-07Exp: 2026-03-06→ Common Stock (27,771 underlying)
    27,771
Footnotes (15)
  • [F1]The reported amount consists of 18,444 restricted stock units and 86,072 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
  • [F10]This nonstatutory stock option to purchase 27,700 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.
  • [F11]This nonstatutory stock option to purchase 21,174 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.
  • [F12]This nonstatutory stock option to purchase 22,496 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.
  • [F13]This nonstatutory stock option to purchase 54,024 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, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse date.
  • [F14]This nonstatutory stock option to purchase 23,765 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.
  • [F15]This nonstatutory stock option to purchase 17,000 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.
  • [F2]The price reported is the weighted average price of multiple transactions ranging from $57.02 to $57.62. 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 reported amount consists of 18,444 restricted stock units and 85,190 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
  • [F4]The price reported is the weighted average price of multiple transactions ranging from $56.00 to $56.23. 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 reported amount consists of 18,444 restricted stock units and 77,690 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
  • [F6]This nonstatutory stock option to purchase 39,722 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.
  • [F7]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.
  • [F8]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.
  • [F9]This nonstatutory stock option to purchase 27,771 shares of Class A 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.

Documents

1 file

Issuer

PennyMac Financial Services, Inc.

CIK 0001745916

→
Entity typeother

Related Parties

1
  • filerCIK 0001486360

Filing Metadata

Form type
4
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 8:06 PM ET
Size
30.9 KB
View on SEC.gov