SEC Form 4 · accession 0001127602-19-010135

PennyMac Financial Services, Inc. · PFSI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Anne McCallion

Officer — Chief Enterprise Ops Officer · Director

Period of report

Mar 4, 2019

Accepted (ET)

Mar 6, 2019 · 10:47 am EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001745916

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Mar 4, 2019	S	5,000	$23.08	D	435,720	I	The McCallion Family Trust dated 12/21/98
Common Stock^F1,F3	Mar 5, 2019	S	5,000	$22.90	D	430,720	I	The McCallion Family Trust dated 12/21/98
Common Stock^F4	holding	—	—		—	12,883	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Nonstatutory Stock Option (Right to Buy)^F5	$21.03	holding	—	—	—	Jun 13, 2014	Jun 12, 2023	Common Stock	15,882	15,882	D
Nonstatutory Stock Option (Right to Buy)^F6	$17.26	holding	—	—	—	Feb 26, 2015	Feb 25, 2024	Common Stock	28,216	28,216	D
Nonstatutory Stock Option (Right to Buy)^F7	$17.52	holding	—	—	—	Mar 3, 2016	Mar 2, 2025	Common Stock	23,829	23,829	D
Nonstatutory Stock Option (Right to Buy)^F8	$11.28	holding	—	—	—	Mar 7, 2017	Mar 6, 2026	Common Stock	27,771	27,771	D
Nonstatutory Stock Option (Right to Buy)^F9	$18.05	holding	—	—	—	Mar 6, 2018	Mar 5, 2027	Common Stock	22,506	22,506	D
Nonstatutory Stock Option (Right to Buy)^F10	$24.40	holding	—	—	—	Mar 9, 2019	Mar 8, 2028	Common Stock	17,204	17,204	D

Explanation of responses

F1These shares of Common Stock were sold pursuant to a 10b5-1 plan.
F10This nonstatutory stock option to purchase 17,204 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.
F2The price reported is the weighted average price of multiple transactions ranging from $22.88 to $23.37. 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
F3The price reported is the weighted average price of multiple transactions ranging from $22.67 to $23.10. 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
F4The reported amount consists of 12,883 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
F5This nonstatutory stock option to purchase 15,882 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.
F6This 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.
F7This 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.
F8This 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 committed service through each date.
F9This nonstatutory stock option to purchase 22,506 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.