Jones Doug's Form 4 filing
PennyMac Financial Services, Inc. (PFSI) · filed Feb 21, 2023
- Accession no.
- 0001127602-23-006293
- Filed
- Feb 21, 2023
- Trade date
- Feb 16, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.46M. 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 16, 2023 | Common Stock | MOption exerciseAcquired | +15,882 | $21.03 | +$333,998.46 | 41,791 | Direct | |
| Feb 16, 2023 | Common Stock | SSaleDisposed | −15,882 | $65.96F2,F3 | −$1,047,576.72 | 25,909 | Direct | |
| Feb 16, 2023 | Common Stock | SSaleDisposed | −21,440 | $65.96F2,F3 | −$1,414,182.4 | 505,000 | Indirect |
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 16, 2023 | Common Stock | MOption exerciseDisposed | −15,882 | $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 $64.92 to $65.92. 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 2 transactions in Table I.
- F3
The price reported is the weighted average price of multiple transactions ranging from $65.92 to $66.63. 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 2 transactions in Table I.