Jones Doug's Form 4/A amendment
AmendedPennyMac Financial Services, Inc. (PFSI) · filed Dec 16, 2022
- Accession no.
- 0001127602-22-027714
- Filed
- Dec 16, 2022
- Trade date
- Aug 16-Dec 15, 2022
- Filing delay
- 122 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Dec 14, 2022
This filing lists 3 non-derivative transactions. Open-market sales total $2.00M. It was filed 122 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 |
|---|---|
| Jones DougCIK 0001544302 | Officer (President & Chief Mtg Bkg Ofcr) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 16, 2022 | Common Stock | GGiftDisposed | −1,715 | $0.00 | $0 | 17,477 | Indirect | |
| Dec 14, 2022 | Common Stock | SSaleDisposed | −17,500 | $58.69F1,F2,F3 | −$1,027,075 | 522,500 | Indirect | |
| Dec 15, 2022 | Common Stock | SSaleDisposed | −17,500 | $55.87F4,F5,F6 | −$977,725 | 505,000 | Indirect |
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.
- F1
The price reported is the weighted average price of multiple transactions ranging from $57.85 to $57.99. 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.
- F2
The price reported is the weighted average price of multiple transactions ranging from $58.04 to $58.99. 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.
- F3
The price reported is the weighted average price of multiple transactions ranging from $59.02 to $59.41. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or security holder of the Issuer the number os shares of Common Stock and the prices at which the transactions were affected.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported is the weighted average price of multiple transactions ranging from $55.34 to $55.99. 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.
- F5
The price reported is the weighted average price of multiple transactions ranging from $56.00 to $56.88. 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.
- F6
The price reported is the weighted average price of multiple transactions ranging from $57.00 to $57.07. 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.
- F7
The reported amount consists of 25,909 restricted stock units and 21,440 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.