Welcome to our dedicated page for Pennymac Finl Svcs SEC filings (Ticker: PFSI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The PennyMac Financial Services, Inc. (NYSE: PFSI) SEC filings page provides access to the company’s regulatory disclosures filed with the U.S. Securities and Exchange Commission. These documents include current reports on Form 8-K, which the company uses to announce earnings results, capital markets transactions, and significant corporate events.
Recent Form 8-K filings describe quarterly financial results for PennyMac Financial’s Production and Servicing segments, including information on mortgage loan originations, servicing portfolio balances, and segment pretax income. Other 8-K filings detail senior note offerings, such as the 6.750% senior notes due 2034, including use of proceeds, key terms of the notes, and related indenture provisions. Additional filings report on matters submitted to a vote of stockholders at the annual meeting, including director elections, auditor ratification, and advisory votes on executive compensation.
Through these filings, investors can review how PennyMac Financial explains its mortgage production channels, servicing and subservicing activities, and its relationship with PennyMac Mortgage Investment Trust (PMT), which is externally managed by PNMAC Capital Management, LLC, a wholly-owned subsidiary of PennyMac Financial. The filings also outline aspects of the company’s capital structure and governance, such as guarantees of senior notes by certain subsidiaries and the outcomes of stockholder votes.
On Stock Titan, each filing is accompanied by AI-powered summaries that highlight the main points of lengthy documents, helping users quickly identify disclosures about earnings, debt issuance, governance decisions, and other material events. Real-time updates from EDGAR ensure that new PennyMac Financial filings, including future 10-K annual reports, 10-Q quarterly reports, and Form 4 insider transaction reports when available, are incorporated promptly so users can review both the original documents and simplified explanations.
PennyMac Financial Services, Inc. reported an open-market sale of 10,000 shares of its Common Stock on April 14, 2026 by an entity associated with Chairman & CEO David Spector. The shares were sold indirectly through ST Family Investment Company LLC, in two trades of 9,583 shares at $92.80 and 417 shares at $93.47 per share.
The filing states these sales occurred automatically under a Rule 10b5-1 trading plan adopted by Spector. After the transactions, ST Family Investment Company LLC holds 70,604 shares indirectly, while Spector also holds 529,401 shares directly, including 37,841 restricted stock units that will settle in an equal number of shares upon vesting.
PFSI related parties filed Form 144 notices reporting sales of common stock. The filing lists multiple transactions by David Spector and ST Family Investment Company LLC with dated sales in February and March 2026, showing share counts and gross proceeds for each trade. The filing also notes an acquisition described as “acquired as a gift.”
PennyMac Financial Services, Inc. reported the vesting of 419 restricted stock units into Common Stock on 04/04/2026 as part of its issuer equity compensation plan. The filing lists these securities and the vesting event; no sale or offering amount is stated in the excerpt.
PennyMac Financial Services, Inc. reported Schedule 13G holdings from Millennium Management LLC, Millennium Group Management LLC and Israel A. Englander noting shared voting and dispositive power over 2,535,760 shares of Common Stock (CUSIP 70932M107) representing 4.9% of the class. The filing states the reporting persons previously exceeded 5% on March 27, 2026 but ceased to be beneficial owners above 5% by the filing date.
The filing includes a Joint Filing Agreement dated March 31, 2026 and clarifies that the disclosed securities are held by entities subject to voting control and investment discretion by the reporting persons; no admission of beneficial ownership is made.
The Vanguard Group filed Amendment No. 1 to a Schedule 13G for PennyMac Financial Services Inc Common Stock, reporting 0 shares and 0% beneficial ownership. The filing states Vanguard undertook an internal realignment on January 12, 2026 and, in reliance on SEC Release No. 34-39538 (January 12, 1998), certain subsidiaries will report disaggregated ownership; Vanguard no longer has beneficial ownership of securities held by those subsidiaries. The amendment is signed by Ashley Grim on March 27, 2026.
PennyMac Financial Services, Inc. Chief Investment Officer Marshall Sebring filed an initial ownership report showing 4,215 shares of Common Stock held directly. He also holds nonstatutory stock options covering 4,385 shares at an exercise price of $101.76 and 6,940 shares at $91.49, each vesting in one-third annual installments beginning in 2026 and 2027, respectively.
PennyMac Financial Services, Inc. executive Shiva Iyer, Chief Enterprise Risk Officer, filed an initial statement of beneficial ownership. Iyer directly holds 14,671 shares of Common Stock, consisting of 3,150 restricted stock units and 11,521 shares that are already issued.
The filing also shows 976 Deferred Units, each representing a right to receive one share of Common Stock, payable upon termination of employment. In addition, Iyer holds several nonstatutory stock options on Common Stock, including 3,758 shares at an exercise price of $101.76 per share expiring in 2035 and 2,561 shares at $24.40 per share expiring in 2028, along with other option grants that vest in annual one-third installments.
PennyMac Financial Services, Inc. reported that its board of directors approved an amended and restated version of the company’s bylaws effective March 16, 2026. The changes update references to the company’s name, remove references to a terminated stockholder agreement, and update references to a current stockholder agreement.
The amendment also clarifies the existing majority voting standard that applies to uncontested elections of directors, helping spell out how director elections are decided when there is no competing slate. The full text of the updated bylaws is available as an exhibit to the report.
PennyMac Financial Services Chairman & CEO David Spector and an affiliated entity reported open-market sales of 22,436 shares of Common Stock on March 6, 2026. The trades occurred automatically under a Rule 10b5-1 trading plan adopted on August 8, 2025. Following these transactions, ST Family Investment Company LLC held 80,604 shares indirectly, while Spector held 529,401 shares directly, including 37,841 restricted stock units that settle in the same number of shares upon vesting.
PFSI affiliate filings report proposed sales of Common Stock in multiple transactions. Examples include ST Family Investment Company LLC: 10,000 shares (01/13/2026) and David Spector: 2,336 shares (02/19/2026). The excerpt lists additional sales on 12/16/2025 (5,000 shares) and other entries on 02/19/2026 (including 7,664 and 614 shares).
The notices show acquisition sources such as gift and compensation (performance awards, RSUs) for certain lots; they are presented as proposed dispositions under Form 144 reporting rules.