Fartaj Vandad's Form 4 filing
PennyMac Financial Services, Inc. (PFSI) · filed Jan 3, 2023
- Accession no.
- 0001127602-23-000218
- Filed
- Jan 3, 2023
- Trade date
- Dec 29-30, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $900.8K. It was filed 5 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 |
|---|---|
| Fartaj VandadCIK 0001486360 | Officer (Chief Investment Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 29, 2022 | Common Stock | MOption exerciseAcquired | +8,382 | $21.03 | +$176,273.46 | 104,516 | Direct | |
| Dec 29, 2022 | Common Stock | SSaleDisposed | −8,382 | $57.22F2 | −$479,618.04 | 96,134 | Direct | |
| Dec 30, 2022 | Common Stock | MOption exerciseAcquired | +7,500 | $21.03 | +$157,725 | 103,634 | Direct | |
| Dec 30, 2022 | Common Stock | SSaleDisposed | −7,500 | $56.16F4 | −$421,200 | 96,134 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 29, 2022 | Common Stock | MOption exerciseDisposed | −8,382 | $0.00 | $0 | 7,500 | Direct | |
| Dec 30, 2022 | Common Stock | MOption exerciseDisposed | −7,500 | $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 $57.02 to $57.62. 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.
- F4
The price reported is the weighted average price of multiple transactions ranging from $56.00 to $56.23. 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.