Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-20-021219
Date:2020-07-01
Issuer: PENNYMAC FINANCIAL SERVICES, INC. (PFSI)
Original Submission Date:

Reporting Person:

GROGIN JEFFREY
C/O PENNYMAC FINANCIAL SERVICES, INC.
3043 TOWNSGATE ROAD WESTLAKE VILLAGE, CA 91361

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-07-01 M 9,225 a $17.26 37,986 direct
COMMON STOCK 2020-07-01 S 9,225 d $41.40 28,761 direct
COMMON STOCK 2020-07-01 0 $0.00 33,193 indirect
COMMON STOCK 2020-07-01 0 $0.00 22,129 indirect
COMMON STOCK 2020-07-01 0 $0.00 453,655 indirect
COMMON STOCK 2020-07-01 0 $0.00 9,025 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 17.26 2020-07-01 deemed execution date M 9,225 (d) 2015-02-26 2024-02-25 common stock 9,225 $17.26 7,292 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 24.4 deemed execution date 0 ( ) 2019-03-09 2028-03-08 common stock 17,204 $24.40 17,204 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 22.92 deemed execution date 0 ( ) 2020-03-15 2029-03-14 common stock 18,057 $22.92 18,057 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 17.52 deemed execution date 0 ( ) 2016-03-03 2025-03-02 common stock 23,829 $17.52 23,829 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 18.05 deemed execution date 0 ( ) 2018-03-06 2027-03-05 common stock 22,506 $18.05 22,506 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 35.03 deemed execution date 0 ( ) 2021-02-26 2030-02-25 common stock 17,824 $35.03 17,824 direct
Footnotes
IDfootnote
f1 these shares of common stock were sold pursuant to a 10b5-1 plan.
f2 the reported amount consists of 12,286 restricted stock units and 25,700 shares of common stock. the restricted stock units are to be settled in an equal number of shares of common stock upon vesting.
f3 the price reported is the weighted average price of multiple transactions ranging from $41.1750 to $41.74. the reporting person hereby undertakes to provide upon request to the sec, the issuer or a security holder of the issuer the number of shares of common stock and the prices at which the transactions were effected.
f4 the reported amount consists of 12,286 restricted stock units and 16,475 shares of common stock. the restricted stock units are to be settled in an equal number of shares of common stock upon vesting.
f5 this 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 march 9, 2019, 2020 and 2021, subject to the reporting person's continued service through each date.
f6 this nonstatutory stock option to purchase 18,057 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.
f7 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.
f8 this 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.
f9 this nonstatutory stock option to purchase 17,824 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.
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