0001127602-23-029511.txt : 20231212
0001127602-23-029511.hdr.sgml : 20231212
20231212201411
ACCESSION NUMBER: 0001127602-23-029511
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: Jones Doug
CENTRAL INDEX KEY: 0001544302
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38727
FILM NUMBER: 231482752
MAIL ADDRESS:
STREET 1: C/O PENNYMAC
STREET 2: 6101 CONDOR DRIVE, 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
X0508
4
2023-12-08
0001745916
PennyMac Financial Services, Inc.
PFSI
0001544302
Jones Doug
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD
WESTLAKE VILLAGE
CA
91361
1
1
Director, President & CMBO
0
Common Stock
17477
I
The Jones Family Trust
Common Stock
2023-12-08
4
M
0
28216
17.26
A
53200
D
Common Stock
2023-12-08
4
S
0
28216
79.8238
D
24984
D
Common Stock
2023-12-08
4
S
0
27830
80.2319
D
517170
I
GR Family Investments LLC
Common Stock
2023-12-11
4
S
0
7170
80.3823
D
510000
I
GR Family Investments LLC
Nonstatutory Stock Option (Right to Buy)
17.26
2023-12-08
4
M
0
28216
0
D
2015-02-26
2024-02-25
Common Stock
28216
0
D
Nonstatutory Stock Option (Right to Buy)
57.10
2023-02-23
2032-02-22
Common Stock
54063
54063
D
Nonstatutory Stock Option (Right to Buy)
17.52
2016-03-03
2025-03-02
Common Stock
23829
23829
D
Nonstatutory Stock Option (Right to Buy)
11.28
2017-03-07
2026-03-06
Common Stock
27771
27771
D
Nonstatutory Stock Option (Right to Buy)
18.05
2018-03-06
2027-03-05
Common Stock
34626
34626
D
Nonstatutory Stock Option (Right to Buy)
24.40
2019-03-09
2028-03-08
Common Stock
26467
26467
D
Nonstatutory Stock Option (Right to Buy)
22.92
2020-03-15
2029-03-14
Common Stock
27744
27744
D
Nonstatutory Stock Option (Right to Buy)
59.68
2020-12-14
2030-12-13
Common Stock
54024
54024
D
Nonstatutory Stock Option (Right to Buy)
35.03
2021-02-26
2030-02-25
Common Stock
30366
30366
D
Nonstatutory Stock Option (Right to Buy)
58.85
2022-02-25
2031-02-24
Common Stock
29566
29566
D
Nonstatutory Stock Option (Right to Buy)
60.74
2024-02-24
2033-02-23
Common Stock
25724
25724
D
The reported amount consists of 24,984 restricted stock units and 28,216 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 $80.05 to $80.31. 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 price reported is the weighted average price of multiple transactions ranging from $80.05 to $80.31. 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 24,984 restricted stock units which 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 $80.05 to $80.31. 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 price reported is the weighted average price of multiple transactions ranging from $79.94 to $80.63. 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.
This nonstatutory stock option to purchase 28,216 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 54,063 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 23, 2023, 2024 and 2025, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 23,829 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 committed service through each date.
This nonstatutory stock option to purchase 27,771 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 continued service through each date.
This nonstatutory stock option to purchase 34,626 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 continued service through each date.
This nonstatutory stock option to purchase 26,467 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 continued service through each date.
This nonstatutory stock option to purchase 27,744 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 15, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 54,024 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of December 14, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each lapse date.
This nonstatutory stock option to purchase 30,366 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 29,566 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date.
This nonstatutory stock option to purchase 25,724 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. Jones
2023-12-12