PFSI Form 144: RSU holder plans to sell 4,750 shares via Merrill Lynch

Rhea-AI Filing Summary

PennyMac Financial Services, Inc. (PFSI) reported a proposed sale under Rule 144 of 4,750 shares of common stock through Merrill Lynch, valued at $520,415.60 based on the filing. The shares represent a small portion of the company's outstanding common stock of 51,710,032 shares. The filer acquired these shares on 11/01/2018 upon vesting of a restricted stock unit award granted as part of the issuer's equity compensation plan. The filing indicates no securities sold by the person in the past three months and includes the standard attestation that the seller is not aware of undisclosed material adverse information.

Insights

Securities Analyst

TL;DR: Small insider sale disclosed; not likely material to valuation given size relative to outstanding shares.

The filing notifies a proposed sale of 4,750 shares valued at $520,415.60 executed through Merrill Lynch. These shares originated from RSU vesting on 11/01/2018 and are part of routine equity compensation monetization. With 51.71 million shares outstanding, the sale represents a de minimis percentage and does not indicate a change in corporate fundamentals from the information provided.

Corporate Governance Expert

TL;DR: Disclosure complies with Rule 144 requirements and includes standard seller attestation.

The notice shows formal compliance with regulatory disclosure for an officer/affiliate sale, specifying acquisition method (RSU vesting) and the broker handling the transaction. The filing includes the required representation about material nonpublic information and reports no other sales in the prior three months, which supports transparency but does not itself signal governance concerns.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	Merrill Lynch 225 Liberty St Floor 37 New York NY 10281	4750	520415.60	51710032	08/25/2025	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	11/01/2018	Vesting of restricted stock unit award	PennyMac Financial Services, Inc.			4750	11/01/2018	Granted as part of issuer equity compensation plan

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What did PennyMac Financial Services (PFSI) disclose in this Form 144?

The filing discloses a proposed sale of 4,750 shares of common stock valued at $520,415.60, to be sold through Merrill Lynch on or about 08/25/2025.

How were the shares being sold by the filer acquired?

The shares were acquired on 11/01/2018 through the vesting of a restricted stock unit (RSU) award granted as part of the issuer's equity compensation plan.

How large is the proposed sale relative to PennyMac's outstanding shares?

The proposed sale of 4,750 shares is against 51,710,032 shares outstanding, making it a very small proportion of the outstanding common stock.

Did the filer report any other sales of issuer securities in the past three months?

No. The Form 144 states "Nothing to Report" for securities sold during the past three months by the person for whose account the securities are to be sold.

Which broker is handling the proposed sale?

The broker listed in the filing is Merrill Lynch, located at 225 Liberty St Floor 37, New York, NY 10281.