0001127602-22-024825.txt : 20221102 0001127602-22-024825.hdr.sgml : 20221102 20221102194051 ACCESSION NUMBER: 0001127602-22-024825 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221031 FILED AS OF DATE: 20221102 DATE AS OF CHANGE: 20221102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPECTOR DAVID CENTRAL INDEX KEY: 0001275713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38727 FILM NUMBER: 221355727 MAIL ADDRESS: STREET 1: C/O PENNYMAC, 6101 CONDOR DRIVE STREET 2: 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 2022-10-31 0001745916 PennyMac Financial Services, Inc. PFSI 0001275713 SPECTOR DAVID C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 1 Chairman & CEO Common Stock 2022-10-31 4 M 0 40735 21.03 A 721121 D Common Stock 2022-10-31 4 S 0 40735 54.24 D 680386 D Common Stock 465604 I ST Family Investment Company LLC Nonstatutory Stock Option (Right to Buy) 21.03 2022-10-31 4 M 0 40735 0 D 2014-06-13 2023-06-12 Common Stock 40735 0 D The reported amount consists of 54,856 restricted stock units and 666,265 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 $54.00 to $54.9745. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of Issuer the number of Common Stock and the price at which the transactions were effected. The price reported is the weighted average price of multiple transactions ranging from $55.00 to $55.01. 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 nonstatutory stock option to purchase 40,735 shares of Common Stock of the Issuer will vest as to on-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date. /s/ Derek W. Stark, attorney-in-fact for Mr. Spector 2022-11-02