0001127602-23-029509.txt : 20231212 0001127602-23-029509.hdr.sgml : 20231212 20231212201128 ACCESSION NUMBER: 0001127602-23-029509 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231208 FILED AS OF DATE: 20231212 DATE AS OF CHANGE: 20231212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hendry Gregory L CENTRAL INDEX KEY: 0001486334 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38727 FILM NUMBER: 231482735 MAIL ADDRESS: STREET 1: 3300 LAKE AVENUE CITY: ALTADENA STATE: CA ZIP: 91001 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 X0508 4 2023-12-08 0001745916 PennyMac Financial Services, Inc. PFSI 0001486334 Hendry Gregory L C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 MD, Chief Accounting Officer 0 Common Stock 2023-12-08 4 M 0 3077 17.26 A 50259 D Common Stock 2023-12-08 4 S 0 3077 79.2574 D 47182 D Nonstatutory Stock Option (Right to Buy) 17.26 2023-12-08 4 M 0 3077 0 D 2015-02-26 2024-02-25 Common Stock 3077 0 D Nonstatutory Stock Option (Right to Buy) 24.40 2019-03-09 2028-03-08 Common Stock 2177 2177 D Nonstatutory Stock Option (Right to Buy) 18.05 2018-03-06 2027-03-05 Common Stock 2943 2943 D Nonstatutory Stock Option (Right to Buy) 11.28 2017-03-07 2026-03-06 Common Stock 3530 3530 D Nonstatutory Stock Option (Right to Buy) 17.52 2016-03-03 2025-03-02 Common Stock 3032 3032 D Nonstatutory Stock Option (Right to Buy) 60.74 2024-02-24 2033-02-23 Common Stock 1028 1028 D The reported amount consists of 1,017 restricted stock units and 49,242 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 $79.11 to $79.34. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected. The reported amount consists of 1,017 restricted stock units and 46,165 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. This nonstatutory stock option to purchase 3,077 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 2,177 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 9, 2019, 2020 and 2021, subject to the Reporting Person's committed service through each date. This nonstatutory stock option to purchase 2,943 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's committed service through each date. This nonstatutory stock option to purchase 3,530 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 7, 2017, 2018 and 2019, subject to the Reporting Person's committed service through each date. This nonstatutory stock option to purchase 3,032 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 1,028 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. Hendry 2023-12-12