Bailey Steven Richard's Form 4 filing
PennyMac Financial Services, Inc. (PFSI) · filed Feb 8, 2023
- Accession no.
- 0001127602-23-004087
- Filed
- Feb 8, 2023
- Trade date
- Feb 7-8, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 3 derivative transactions. Open-market sales total $3.21M. It was filed 1 day 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 |
|---|---|
| Bailey Steven RichardCIK 0001571945 | Officer (Chief Servicing 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 7, 2023 | Common Stock | MOption exerciseAcquired | +4,317 | $22.92 | +$98,945.64 | 41,457 | Direct | |
| Feb 7, 2023 | Common Stock | SSaleDisposed | −4,317 | $66.27F2 | −$286,087.59 | 37,140 | Direct | |
| Feb 7, 2023 | Common Stock | SSaleDisposed | −25,226 | $66.27F2 | −$1,671,727.02 | 11,914 | Direct | |
| Feb 8, 2023 | Common Stock | MOption exerciseAcquired | +3,520 | $22.92 | +$80,678.4 | 15,434 | Direct | |
| Feb 8, 2023 | Common Stock | SSaleDisposed | −3,520 | $66.33F6,F7 | −$233,481.6 | 11,914 | Direct | |
| Feb 8, 2023 | Common Stock | MOption exerciseAcquired | +15,403 | $35.03 | +$539,567.09 | 27,317 | Direct | |
| Feb 8, 2023 | Common Stock | SSaleDisposed | −15,403 | $66.33 | −$1,021,680.99 | 11,914 | 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 7, 2023 | Common Stock | MOption exerciseDisposed | −4,317 | $0.00 | $0 | 3,520 | Direct | |
| Feb 8, 2023 | Common Stock | MOption exerciseDisposed | −3,520 | $0.00 | $0 | 0 | Direct | |
| Feb 8, 2023 | Common Stock | MOption exerciseDisposed | −15,403 | $0.00 | $0 | 7,702 | 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 $65.80 to $66.62. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.
Referenced by the price of 2 transactions in Table I.
- F6
The price reported is the weighted average price of multiple transactions ranging from $65.52 to $66.51. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.
Referenced by the price of 1 transaction in Table I.
- F7
The price reported is the weighted average price of multiple transactions ranging from $66.52 to $66.87. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.
Referenced by the price of 1 transaction in Table I.