Follette James's Form 4 filing
PennyMac Financial Services, Inc. (PFSI) · filed Dec 12, 2023
- Accession no.
- 0001127602-23-029507
- Filed
- Dec 12, 2023
- Trade date
- Dec 11, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 2 derivative transactions. Open-market sales total $1.75M. 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 |
|---|---|
| Follette JamesCIK 0001912289 | Officer (Chief Mort Fulfillment Off.) |
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 11, 2023 | Common Stock | MOption exerciseAcquired | +5,839 | $22.92 | +$133,829.88 | 18,314 | Direct | |
| Dec 11, 2023 | Common Stock | MOption exerciseAcquired | +15,404 | $35.03 | +$539,602.12 | 33,718 | Direct | |
| Dec 11, 2023 | Common Stock | SSaleDisposed | −5,839 | $80.42F3 | −$469,572.38 | 27,879 | Direct | |
| Dec 11, 2023 | Common Stock | SSaleDisposed | −15,404 | $80.42F3 | −$1,238,789.68 | 12,475 | Direct | |
| Dec 11, 2023 | Common Stock | SSaleDisposed | −499 | $80.42F3 | −$40,129.58 | 11,976 | 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 11, 2023 | Common Stock | MOption exerciseDisposed | −5,839 | $0.00 | $0 | 0 | Direct | |
| Dec 11, 2023 | Common Stock | MOption exerciseDisposed | −15,404 | $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.
- F3
The price reported is the weighted average price of multiple transactions ranging from $80.13 to $80.57. 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.