Spector David's Form 4 filing
PennyMac Financial Services, Inc. (PFSI) · filed Feb 25, 2022
- Accession no.
- 0001127602-22-006884
- Filed
- Feb 25, 2022
- Trade date
- Feb 23, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 3 derivative transactions. Open-market sales total $858.4K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Spector DavidCIK 0001275713 | Director, Officer (Chairman & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 23, 2022 | Common Stock | AGrant or awardAcquired | +41,286 | $0.00 | $0 | 717,623 | Direct | |
| Feb 23, 2022 | Common Stock | MOption exerciseAcquired | +57,707 | $0.00 | $0 | 775,330 | Direct | |
| Feb 23, 2022 | Common Stock | FTax withholdingDisposed | −26,582 | $58.05 | −$1,543,085.1 | 748,748 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −13,498 | $57.11F8 | −$770,870.78 | 735,250 | Direct | |
| Feb 23, 2022 | Common Stock | SSaleDisposed | −1,502 | $58.27F10 | −$87,521.54 | 733,748 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 23, 2022 | Common Stock | AGrant or awardAcquired | +119,730 | $0.00 | $0 | 119,730 | Direct | |
| Feb 23, 2022 | Common Stock | AGrant or awardAcquired | +57,707 | $0.00 | $0 | 57,707 | Direct | |
| Feb 23, 2022 | Common Stock | MOption exerciseDisposed | −57,707 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F8
The price reported is the weighted average price of multiple transactions ranging from $56.76 to $57.72. 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.
Referenced by the price of 1 transaction in Table I.
- F10
The price reported is the weighted average price of multiple transactions ranging from $57.76 to $58.52. 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.
Referenced by the price of 1 transaction in Table I.