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4//SEC Filing

SPECTOR DAVID 4

Accession 0001745916-25-000012

CIK 0001745916other
View on SEC.govCompany Profile

Filed

Oct 26, 8:00 PM ET

Accepted

Oct 27, 6:12 PM ET

Size

29.5 KB

Accession

0001745916-25-000012

Insider Transaction Report

Form 4
Period: 2025-10-23
PennyMac Financial Services, Inc.PFSI
SPECTOR DAVID
DirectorChairman & CEO
Transactions
  • Exercise/Conversion

    Nonstatutory Stock Option (Right to Buy)

    2025-10-23−71,161→ 0 total
    Exercise: $11.28From: 2017-03-07Exp: 2026-03-06→ Common Stock (71,161 underlying)
  • Sale

    Common Stock

    2025-10-23$127.92/sh−26,503$3,390,264→ 608,363 total
  • Exercise/Conversion

    Common Stock

    2025-10-23$128.05/sh+71,161$9,111,995→ 649,020 total
  • Sale

    Common Stock

    2025-10-23$127.07/sh−14,154$1,798,549→ 634,866 total
  • Sale

    Common Stock

    2025-10-23$128.66/sh−30,504$3,924,645→ 577,859 total
Holdings

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $22.92From: 2020-03-15Exp: 2029-03-14→ Common Stock (55,488 underlying)
    55,488

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $58.85From: 2022-02-25Exp: 2031-02-24→ Common Stock (53,589 underlying)
    53,589

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $84.93From: 2025-03-01Exp: 2034-02-28→ Common Stock (46,177 underlying)
    46,177

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $101.76From: 2026-02-14Exp: 2035-02-13→ Common Stock (45,419 underlying)
    45,419

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $24.40From: 2019-03-09Exp: 2028-03-08→ Common Stock (52,935 underlying)
    52,935

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $59.68From: 2020-12-14Exp: 2030-12-13→ Common Stock (140,464 underlying)
    140,464

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $35.03From: 2021-02-26Exp: 2030-02-25→ Common Stock (59,466 underlying)
    59,466

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $60.74From: 2024-02-24Exp: 2033-02-23→ Common Stock (46,303 underlying)
    46,303

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $57.10From: 2023-02-23Exp: 2032-02-22→ Common Stock (119,730 underlying)
    119,730

  • Common Stock

    (indirect: By LLC)
    120,604

  • Nonstatutory Stock Option (Right to Buy)

    Exercise: $18.05From: 2018-03-06Exp: 2027-03-05→ Common Stock (69,252 underlying)
    69,252
Footnotes (16)
  • [F1]The reported amount consists of 36,299 restricted stock units and 612,721 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 140,464 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.
  • [F11]This nonstatutory stock option to purchase 59,466 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.
  • [F12]This nonstatutory stock option to purchase 53,589 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.
  • [F13]This nonstatutory stock option to purchase 119,730 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.
  • [F14]This nonstatutory stock option to purchase 46,303 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 committed service through each date.
  • [F15]This nonstatutory stock option to purchase 46,177 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's continued service through each date.
  • [F16]This nonstatutory stock option to purchase 45,419 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 14, 2026, 2027 and 2028, 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 $126.405 to $127.395. 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 $127.40 to $128.39. 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 $128.40 to $129.06. 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 36,299 restricted stock units and 541,560 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 71,161 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 69,252 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 52,935 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.
  • [F9]This nonstatutory stock option to purchase 55,488 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.

Documents

1 file

Issuer

PennyMac Financial Services, Inc.

CIK 0001745916

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Entity typeother

Related Parties

1
  • filerCIK 0001275713

Filing Metadata

Form type
4
Filed
Oct 26, 8:00 PM ET
Accepted
Oct 27, 6:12 PM ET
Size
29.5 KB
View on SEC.gov