Bailey Steven Richard's Form 4 filing
PennyMac Financial Services, Inc. (PFSI) · filed Sep 18, 2024
- Accession no.
- 0001127602-24-024153
- Filed
- Sep 18, 2024
- Trade date
- Sep 16, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 4 derivative transactions. Open-market sales total $1.65M. It was filed 2 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 16, 2024 | Common Stock | MOption exerciseAcquired | +4,312 | $58.85 | +$253,761.2 | 18,982 | Direct | |
| Sep 16, 2024 | Common Stock | MOption exerciseAcquired | +2,962 | $57.10 | +$169,130.2 | 21,944 | Direct | |
| Sep 16, 2024 | Common Stock | MOption exerciseAcquired | +4,627 | $57.10 | +$264,201.7 | 26,571 | Direct | |
| Sep 16, 2024 | Common Stock | MOption exerciseAcquired | +2,229 | $60.74 | +$135,389.46 | 28,800 | Direct | |
| Sep 16, 2024 | Common Stock | SSaleDisposed | −10,265 | $116.70F5 | −$1,197,925.5 | 18,535 | Direct | |
| Sep 16, 2024 | Common Stock | SSaleDisposed | −3,865 | $117.37F6 | −$453,635.05 | 14,670 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 16, 2024 | Common Stock | MOption exerciseDisposed | −4,312 | $0.00 | $0 | 0 | Direct | |
| Sep 16, 2024 | Common Stock | MOption exerciseDisposed | −2,962 | $0.00 | $0 | 12,218 | Direct | |
| Sep 16, 2024 | Common Stock | MOption exerciseDisposed | −4,627 | $0.00 | $0 | 7,591 | Direct | |
| Sep 16, 2024 | Common Stock | MOption exerciseDisposed | −2,229 | $0.00 | $0 | 4,459 | 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.
- F5
The price reported is the weighted average price of multiple transactions ranging from $116.22 to $117.19. 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 $117.27 to $117.60. 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.