PFSI insider files Form 144 to sell 5,850 vested shares on NYSE

Rhea-AI Filing Summary

PennyMac Financial Services (PFSI) filed a Form 144 notifying the proposed sale of 5,850 shares of common stock, with an aggregate market value of $632,970.00, representing part of the issuer's outstanding shares of 51,710,032. The sale is planned to occur approximately on 09/02/2025 through Merrill Lynch on the NYSE. The shares were acquired via vesting of performance share unit awards: 2,801 shares vested on 02/24/2023 and 3,049 shares vested on 02/29/2024, both granted under the issuer's equity compensation plan. The filer reports no securities sold in the past three months and certifies they are not aware of any undisclosed material adverse information at the time of the notice.

Insights

Securities Analyst

TL;DR: Routine insider sale notice for vested equity, likely immaterial to company valuation.

This Form 144 documents a planned sale of 5,850 shares by a party who received those shares through vesting of performance share units in 2023 and 2024. The transaction is routed through a major broker and scheduled for a single day on the NYSE. No prior sales in the last three months are reported and the filer affirms no undisclosed material information. Given the size of the holding relative to total outstanding shares (5,850 of 51.7 million), this appears to be a routine liquidity event rather than a material corporate development.

Corporate Governance Expert

TL;DR: Compliance filing indicates standard insider disposal of vested awards under Rule 144.

The submission follows Rule 144 disclosure requirements by specifying acquisition method (vesting of PSUs), acquisition dates, and broker information. The inclusion of the filer representation about lack of material nonpublic information and the absence of other sales in the prior three months supports procedural compliance. From a governance standpoint, this filing signals adherence to insider trading transparency but does not by itself indicate governance concerns or material shifts in management ownership.

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	5850	632970.00	51710032	09/02/2025	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	02/24/2023	Vesting of performance share unit award	PennyMac Financial Services, Inc.			2801	02/24/2023	Granted as part of issuer equity compensation plan
Common Stock	02/29/2024	Vesting of performance share unit award	PennyMac Financial Services, Inc.			3049	02/29/2024	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

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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 shares of PFSI are being offered for sale in this Form 144?

The notice covers 5,850 shares of PFSI common stock with an aggregate market value of $632,970.00.

When is the proposed sale of PFSI shares expected to occur?

The approximate date of sale listed is 09/02/2025.

How and when were the shares to be sold acquired?

All shares were received through vesting of performance share unit awards: 2,801 on 02/24/2023 and 3,049 on 02/29/2024, granted under the issuer's equity compensation plan.

Through which broker will the PFSI shares be sold?

The sale is to be executed through Merrill Lynch, 225 Liberty St, Floor 37, New York, NY.

Has the filer sold any PFSI securities in the past three months?

The filing reports Nothing to Report for securities sold during the past three months.