Bailey Steven Richard's Form 4 filing
PennyMac Financial Services, Inc. (PFSI) · filed Dec 12, 2023
- Accession no.
- 0001127602-23-029505
- Filed
- Dec 12, 2023
- Trade date
- Dec 8-11, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 8 non-derivative transactions and 4 derivative transactions. Open-market sales total $1.92M. It was filed 4 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 |
|---|---|
| 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 8, 2023 | Common Stock | MOption exerciseAcquired | +7,702 | $35.03 | +$269,801.06 | 16,602 | Direct | |
| Dec 8, 2023 | Common Stock | MOption exerciseAcquired | +8,623 | $58.85 | +$507,463.55 | 25,225 | Direct | |
| Dec 8, 2023 | Common Stock | MOption exerciseAcquired | +7,289 | $57.10 | +$416,201.9 | 32,514 | Direct | |
| Dec 8, 2023 | Common Stock | SSaleDisposed | −7,702 | $80.16F4 | −$617,392.32 | 24,812 | Direct | |
| Dec 8, 2023 | Common Stock | SSaleDisposed | −8,623 | $80.16F4 | −$691,219.68 | 16,189 | Direct | |
| Dec 8, 2023 | Common Stock | SSaleDisposed | −7,289 | $80.16F4 | −$584,286.24 | 8,900 | Direct | |
| Dec 11, 2023 | Common Stock | MOption exerciseAcquired | +300 | $57.10 | +$17,130 | 9,200 | Direct | |
| Dec 11, 2023 | Common Stock | SSaleDisposed | −300 | $80.00 | −$24,000 | 8,900 | 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 8, 2023 | Common Stock | MOption exerciseDisposed | −7,702 | $0.00 | $0 | 0 | Direct | |
| Dec 8, 2023 | Common Stock | MOption exerciseDisposed | −8,623 | $0.00 | $0 | 4,312 | Direct | |
| Dec 8, 2023 | Common Stock | MOption exerciseDisposed | −7,289 | $0.00 | $0 | 15,480 | Direct | |
| Dec 11, 2023 | Common Stock | MOption exerciseDisposed | −300 | $0.00 | $0 | 15,180 | 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.
- F4
The price reported is the weighted average price of multiple transactions ranging from $79.87 to $80.23. 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 3 transactions in Table I.