Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-21-007955
Date:2021-02-24
Issuer: PENNYMAC FINANCIAL SERVICES, INC. (PFSI)
Original Submission Date:

Reporting Person:

WALKER DAVID M
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 2021-02-24 S 6,813 d $60.99 76,272 indirect
COMMON STOCK 2021-02-24 S 3,187 d $61.66 73,085 indirect
COMMON STOCK 2021-02-25 S 7,500 d $62.25 65,585 indirect
COMMON STOCK 2021-02-25 S 2,500 d $62.92 63,085 indirect
COMMON STOCK 2021-02-24 0 $0.00 52,744 direct
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) 21.03 deemed execution date 0 ( ) 2014-06-13 2023-06-12 common stock 15,882 $21.03 15,882 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 17.26 deemed execution date 0 ( ) 2015-02-26 2024-02-25 common stock 28,216 $17.26 28,216 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) 11.28 deemed execution date 0 ( ) 2017-03-07 2026-03-06 common stock 27,771 $11.28 27,771 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 18.05 deemed execution date 0 ( ) 2018-03-06 2027-03-05 common stock 17,313 $18.05 17,313 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 24.4 deemed execution date 0 ( ) 2019-03-09 2028-03-08 common stock 13,233 $24.40 13,233 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 22.92 deemed execution date 0 ( ) 2020-03-15 2029-03-14 common stock 13,879 $22.92 13,879 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 59.68 deemed execution date 0 ( ) 2020-12-14 2030-12-13 common stock 5,402 $59.68 5,402 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 35.03 deemed execution date 0 ( ) 2021-02-26 2030-02-25 common stock 13,863 $35.03 13,863 direct
Footnotes
IDfootnote
f1 these shares of common stock were sold pursuant to a 10b5-1 plan.
f2 the price reported is the weighted average price of multiple transactions ranging from $60.48 to $61.47. 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.
f3 the price reported is the weighted average price of multiple transactions ranging from $61.475 to $62.31. 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.
f4 the price reported is the weighted average price of multiple transactions ranging from $61.64 to $62.62. 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.
f5 the price reported is the weighted average price of multiple transactions ranging from $62.66 to $63.05. 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.
f6 the reported amount consists of 9,212 restricted stock units and 43,532 shares of common stock. the restricted stock units are to be settled in an equal number of shares of common stock upon vesting.
f7 this 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.
f8 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.
f9 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.
f10 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 committed service through each date.
f11 this nonstatutory stock option to purchase 17,313 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.
f12 this nonstatutory stock option to purchase 13,233 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.
f13 this nonstatutory stock option to purchase 13,879 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.
f14 this nonstatutory stock option to purchase 5,402 shares of common stock of the issuer is fully vested but subject to certain transfer restrictions that will lapse in one-third increments on each of december 14, 2021, 2022 and 2023, subject to the reporting person's continued service through each lapse date.
f15 this nonstatutory stock option to purchase 13,863 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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