0001127602-24-024153.txt : 20240918 0001127602-24-024153.hdr.sgml : 20240918 20240918172419 ACCESSION NUMBER: 0001127602-24-024153 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240916 FILED AS OF DATE: 20240918 DATE AS OF CHANGE: 20240918 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bailey Steven Richard CENTRAL INDEX KEY: 0001571945 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38727 FILM NUMBER: 241308358 MAIL ADDRESS: STREET 1: C/O PENNYMAC STREET 2: 6101 CONDOR DRIVE 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] ORGANIZATION NAME: 02 Finance 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 X0508 4 2024-09-16 0001745916 PennyMac Financial Services, Inc. PFSI 0001571945 Bailey Steven Richard C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 Chief Servicing Officer 0 Common Stock 2024-09-16 4 M 0 4312 58.85 A 18982 D Common Stock 2024-09-16 4 M 0 2962 57.10 A 21944 D Common Stock 2024-09-16 4 M 0 4627 57.10 A 26571 D Common Stock 2024-09-16 4 M 0 2229 60.74 A 28800 D Common Stock 2024-09-16 4 S 0 10265 116.7005 D 18535 D Common Stock 2024-09-16 4 S 0 3865 117.3722 D 14670 D Nonstatutory Stock Option (Right to Buy) 58.85 2024-09-16 4 M 0 4312 0 D 2022-02-25 2031-02-24 Common Stock 4312 0 D Nonstatutory Stock Option (Right to Buy) 57.10 2024-09-16 4 M 0 2962 0 D 2023-02-23 2032-02-22 Common Stock 2962 12218 D Nonstatutory Stock Option (Right to Buy) 57.10 2024-09-16 4 M 0 4627 0 D 2023-02-23 2032-02-22 Common Stock 4627 7591 D Nonstatutory Stock Option (Right to Buy) 60.74 2024-09-16 4 M 0 2229 0 D 2024-02-24 2033-02-23 Common Stock 2229 4459 D The reported amount consists of 6,462 restricted stock units and 12,520 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. The reported amount consists of 6,462 restricted stock units and 15,482 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. The reported amount consists of 6,462 restricted stock units and 20,109 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. The reported amount consists of 6,462 restricted stock units and 22,338 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 $116.22 to $117.19. 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 $117.27 to $117.60. 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. This nonstatutory stock option to purchase 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. This nonstatutory stock option to purchase 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. This nonstatutory stock option to purchase 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 continued service through each date. /s/ Derek W. Stark, attorney-in-fact for Mr. Bailey 2024-09-18