Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-21-010872
Date:2021-03-15
Issuer: PENNYMAC FINANCIAL SERVICES, INC. (PFSI)
Original Submission Date:

Reporting Person:

PEROTTI DANIEL STANLEY
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 2021-03-15 F 1,197 d $65.70 60,191 direct
COMMON STOCK 2021-03-15 0 $0.00 222,972 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) 21.03 2021-03-15 deemed execution date 0 ( ) 2014-06-13 2023-06-12 common stock 2,523 $21.03 2,523 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 17.26 2021-03-15 deemed execution date 0 ( ) 2015-02-26 2024-02-25 common stock 16,881 $17.26 16,881 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 17.52 2021-03-15 deemed execution date 0 ( ) 2016-03-03 2025-03-02 common stock 16,481 $17.52 16,481 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 11.28 2021-03-15 deemed execution date 0 ( ) 2017-03-07 2026-03-06 common stock 16,615 $11.28 16,615 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 18.05 2021-03-15 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) 24.4 2021-03-15 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 2021-03-15 deemed execution date 0 ( ) 2020-03-15 2029-03-14 common stock 18,098 $22.92 18,098 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 59.68 2021-03-15 deemed execution date 0 ( ) 2020-12-14 2030-12-13 common stock 13,506 $59.68 13,506 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 35.03 2021-03-15 deemed execution date 0 ( ) 2021-02-26 2030-02-25 common stock 23,105 $35.03 23,105 direct
NONSTATUTORY STOCK OPTION (RIGHT TO BUY) 58.85 2021-03-15 deemed execution date 0 ( ) 2022-02-25 2031-02-24 common stock 12,935 $58.85 12,935 direct
Footnotes
IDfootnote
f1 represents shares withheld for taxes upon vesting of restricted stock units.
f2 the reported amount consists of 9,549 restricted stock units and 50,642 shares of common stock. the restricted stock units are to be settled in an equal number of shares of common stock upon vesting.
f3 this nonstatutory stock option to purchase 2,523 shares of common stock of the issuer will vest as to one-third of the optioned shares on each of the first, second and third anniversaries of the grant date, subject to the reporting person's continued service through each date.
f4 this nonstatutory stock option to purchase 16,881 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.
f5 this nonstatutory stock option to purchase 16,481 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.
f6 this nonstatutory stock option to purchase 16,615 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.
f7 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.
f8 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 of march 9, 2019, 2020 and 2021, subject to the reporting person's committed service through each date.
f9 this nonstatutory stock option to purchase 18,098 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.
f10 this nonstatutory stock option to purchase 13,506 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.
f11 this nonstatutory stock option to purchase 23,105 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.
f12 this nonstatutory stock option to purchase 12,935 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.
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