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