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Share Name | Share Symbol | Market | Type |
---|---|---|---|
PennyMac Financial Services Inc | NYSE:PFSI | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
-0.79 | -0.85% | 92.10 | 93.55 | 91.892 | 92.51 | 269,038 | 23:44:25 |
1. Name and Address of Reporting Person * Grogin Jeffrey | 2. Issuer Name and Ticker or Trading Symbol PennyMac Financial Services, Inc. [ PFSI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Enterprise Ops Officer |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/1/2020 | M | 9225 (1) | A | $18.05 | 37986 (2) | D | |||
Common Stock | 12/1/2020 | S | 6000 (3) | D | $58.3514 (4) | 31986 (5) | D | |||
Common Stock | 12/1/2020 | S | 3225 (3) | D | $59.1115 (6) | 28761 (7) | D | |||
Common Stock | 21000 | I | JBG Children's Trust utd 12/31/2000 | |||||||
Common Stock | 22129 | I | MJG Children's Trust utd 12/31/2000 | |||||||
Common Stock | 453655 | I | The Grogin Living Trust dtd 12-19-01 | |||||||
Common Stock | 9025 | I | Grogin Giving Fund |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Nonstatutory Stock Option (Right to Buy) | $18.05 | 12/1/2020 | M | 9225 (1) | 3/6/2018 | 3/5/2027 | Common Stock | 9225 (8) | $0 | 7502 | D | ||||
Nonstatutory Stock Option (Right to Buy) | $24.40 | 3/9/2019 | 3/8/2028 | Common Stock | 17204 (9) | 17204 | D | ||||||||
Nonstatutory Stock Option (Right to Buy) | $22.92 | 3/15/2020 | 3/14/2029 | Common Stock | 18057 (10) | 18057 | D | ||||||||
Nonstatutory Stock Option (Right to Buy) | $35.03 | 2/26/2021 | 2/25/2030 | Common Stock | 17824 (11) | 17824 | D |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Grogin Jeffrey C/O PENNYMAC FINANCIAL SERVICES, INC. 3043 TOWNSGATE ROAD WESTLAKE VILLAGE, CA 91361 | Chief Enterprise Ops Officer |
Signatures | ||
/s/ Derek W. Stark, attorney-in-fact for Mr. Grogin | 12/2/2020 | |
**Signature of Reporting Person | Date |
1 Year PennyMac Financial Servi... Chart |
1 Month PennyMac Financial Servi... Chart |
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