0001127602-23-008034.txt : 20230301 0001127602-23-008034.hdr.sgml : 20230301 20230301211443 ACCESSION NUMBER: 0001127602-23-008034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230227 FILED AS OF DATE: 20230301 DATE AS OF CHANGE: 20230301 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: 23696160 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 2023-02-27 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 2023-02-27 4 F 0 4573 60.74 D 690244 D Common Stock 2023-02-27 4 S 0 15000 60.8038 D 450604 I ST Family Investment Company LLC Common Stock 2023-02-28 4 S 0 13892 59.04 D 676352 D Common Stock 2023-03-01 4 S 0 25641 60.6304 D 650711 D Common Stock 2023-03-01 4 S 0 528 61.2927 D 650183 D Represents shares withheld for taxes upon vesting of restricted stock units. The reported amount consists of 50,153 restricted stock units and 640,091 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. These shares of Common Stock were sold pursuant to a 10b5-1 plan. The reported amount consists of 50,153 restricted stock units and 626,199 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 $60.20 to $61.16. 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 50,153 restricted stock units and 590,558 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 $61.22 to $61.40. 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 50,153 restricted stock units and 600,030 shares of Common Stock. The 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. Spector 2023-03-01