0001127602-23-006293.txt : 20230221 0001127602-23-006293.hdr.sgml : 20230221 20230221192511 ACCESSION NUMBER: 0001127602-23-006293 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230216 FILED AS OF DATE: 20230221 DATE AS OF CHANGE: 20230221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jones Doug CENTRAL INDEX KEY: 0001544302 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38727 FILM NUMBER: 23650089 MAIL ADDRESS: STREET 1: C/O PENNYMAC STREET 2: 6101 CONDOR DRIVE, UPPER LEVEL CITY: MOORPARK STATE: CA ZIP: 93021 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PennyMac Financial Services, Inc. CENTRAL INDEX KEY: 0001745916 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 831098934 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3043 TOWNSGATE ROAD CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 BUSINESS PHONE: (818) 224-7442 MAIL ADDRESS: STREET 1: 3043 TOWNSGATE ROAD CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 FORMER COMPANY: FORMER CONFORMED NAME: New PennyMac Financial Services, Inc. DATE OF NAME CHANGE: 20180709 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2023-02-16 0001745916 PennyMac Financial Services, Inc. PFSI 0001544302 Jones Doug C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 President & Chief Mtg Bkg Ofcr Common Stock 2023-02-16 4 M 0 15882 21.03 A 41791 D Common Stock 2023-02-16 4 S 0 15882 65.96 D 25909 D Common Stock 2023-02-16 4 S 0 21440 65.96 D 505000 I GR Family Investments LLC Common Stock 30000 I Jones A LLC Common Stock 30000 I Jones B LLC Common Stock 17477 I The Jones Family Trust Nonstatutory Stock Option (Right to Buy) 21.03 2023-02-16 4 M 0 15882 0 D 2014-06-13 2023-06-12 Common Stock 15882 0 D Nonstatutory Stock Option (Right to Buy) 17.26 2015-02-26 2024-02-25 Common Stock 28216 28216 D Nonstatutory Stock Option (Right to Buy) 17.52 2016-03-03 2025-03-02 Common Stock 23829 23829 D Nonstatutory Stock Option (Right to Buy) 11.28 2017-03-07 2026-03-06 Common Stock 27771 27771 D Nonstatutory Stock Option (Right to Buy) 18.05 2018-03-06 2027-03-05 Common Stock 34626 34626 D Nonstatutory Stock Option (Right to Buy) 24.40 2019-03-09 2028-03-08 Common Stock 26467 26467 D Nonstatutory Stock Option (Right to Buy) 22.92 2020-03-15 2029-03-14 Common Stock 27744 27744 D Nonstatutory Stock Option (Right to Buy) 59.68 2020-12-14 2030-12-13 Common Stock 54024 54024 D Nonstatutory Stock Option (Right to Buy) 35.03 2021-02-26 2030-02-25 Common Stock 30366 30366 D Nonstatutory Stock Option (Right to Buy) 58.85 2022-02-25 2031-02-24 Common Stock 29566 29566 D Nonstatutory Stock Option (Right to Buy) 57.10 2023-02-23 2032-02-22 Common Stock 54063 54063 D The reported amount consists of 25,909 restricted stock units and 15,882 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. The price reported is the weighted average price of multiple transactions ranging from $64.92 to $65.92. 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. The price reported is the weighted average price of multiple transactions ranging from $65.92 to $66.63. 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. The reported amount consists of 25,909 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. /s/ Derek W. Stark, attorney-in-fact for Mr. Jones 2023-02-21