0001127602-23-011066.txt : 20230322 0001127602-23-011066.hdr.sgml : 20230322 20230322203837 ACCESSION NUMBER: 0001127602-23-011066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230320 FILED AS OF DATE: 20230322 DATE AS OF CHANGE: 20230322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Perotti Daniel Stanley CENTRAL INDEX KEY: 0001591994 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38727 FILM NUMBER: 23754238 MAIL ADDRESS: STREET 1: C/O PENNYMAC, 6101 CONDOR DRIVE 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 X0407 4 2023-03-20 0001745916 PennyMac Financial Services, Inc. PFSI 0001591994 Perotti Daniel Stanley C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE CA 91361 1 Chief Financial Officer 0 Common Stock 288297 I The Perotti Family Trust Common Stock 2023-03-20 4 M 0 2523 0 A 32866 D Common Stock 2023-03-20 4 S 0 2523 57.1267 D 30343 D Nonstatutory Stock Option (Right to Buy) 21.03 2023-03-20 4 M 0 2523 0 D 2014-06-13 2023-06-12 Common Stock 2523 0 D The reported amount consists of 14,364 restricted stock units and 18,502 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 at prices ranging from $57.12 to $57.16. 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 14,364 restricted stock units and 15,979 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. The nonstautory stock option to purchase 2,523 shares of Common Stock of the Issuer will vest on June 13, 2014, the one year anniversary date of the optioned shares, subject to the Reporting Person's continued service through that date. /s/ Derek W. Stark, attorney-in-fact for Mr. Perotti 2023-03-22