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