Spector David's Form 4 filing
PennyMac Financial Services, Inc. (PFSI) · filed Nov 2, 2022
- Accession no.
- 0001127602-22-024825
- Filed
- Nov 2, 2022
- Trade date
- Oct 31, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.21M. 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.
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 31, 2022 | Common Stock | MOption exerciseDisposed | −40,735 | $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.
- F2
The price reported is the weighted average price of multiple transactions ranging from $54.00 to $54.9745. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of Issuer the number of Common Stock and the price at which the transactions were effected.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported is the weighted average price of multiple transactions ranging from $55.00 to $55.01. 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.