Form Type: 4

SEC EDGAR Link
Accession Number:0000904454-21-000375
Date:2021-03-25
Issuer: PENNYMAC FINANCIAL SERVICES, INC. (PFSI)
Original Submission Date:

Reporting Person:

NANJI FARHAD
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 2021-03-25 P 68,978 a $62.39 1,285,575 indirect f1
COMMON STOCK 2021-03-26 P 129,062 a $64.75 1,414,637 indirect f1
COMMON STOCK 2021-03-25 0 $0.00 170,099 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
Footnotes
IDfootnote
f1 mfn partners, lp (the "partnership") is the holder of the securities reported herein. mfn partners gp, llc ("mfn gp") is the general partner of the partnership. mfn partners management, lp ("mfn management") is the investment adviser to the partnership. mfn partners management, llc ("mfn llc") is the general partner of mfn management. the reporting person is a managing member of mfn gp and of mfn llc but disclaims beneficial ownership of the securities held by the partnership, except to the extent of his pecuniary interest, if any, therein.
f2 the price reported in column 4 is a weighted average price. the shares were purchased in multiple transactions at prices ranging from $64.50 to $65.00. the reporting person undertakes to provide to the issuer, any shareholder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
f3 consists of 6,360 restricted stock units and 163,739 shares of common stock. the restricted stock units are to be settled in an equal number of shares of common stock upon vesting.
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