Jones Doug's Form 4 filing
PennyMac Financial Services, Inc. (PFSI) · filed Dec 12, 2023
- Accession no.
- 0001127602-23-029511
- Filed
- Dec 12, 2023
- Trade date
- Dec 8-11, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $5.06M. 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 |
|---|---|
| Jones DougCIK 0001544302 | Director, Officer (Director, President & CMBO) |
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 | +28,216 | $17.26 | +$487,008.16 | 53,200 | Direct | |
| Dec 8, 2023 | Common Stock | SSaleDisposed | −28,216 | $79.82F2,F3 | −$2,252,201.12 | 24,984 | Direct | |
| Dec 8, 2023 | Common Stock | SSaleDisposed | −27,830 | $80.23F5 | −$2,232,800.9 | 517,170 | Indirect | |
| Dec 11, 2023 | Common Stock | SSaleDisposed | −7,170 | $80.38F6 | −$576,324.6 | 510,000 | 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 8, 2023 | Common Stock | MOption exerciseDisposed | −28,216 | $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 $80.05 to $80.31. 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.
- F3
The price reported is the weighted average price of multiple transactions ranging from $80.05 to $80.31. 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.
- F5
The price reported is the weighted average price of multiple transactions ranging from $80.05 to $80.31. 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.
- F6
The price reported is the weighted average price of multiple transactions ranging from $79.94 to $80.63. 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 1 transaction in Table I.