[144] PennyMac Financial Services, Inc. SEC Filing

Rhea-AI Filing Summary

PennyMac Financial Services, Inc. (PFSI) filed a Form 144 disclosing a proposed sale of 7,107 shares of common stock through Merrill Lynch, with an aggregate market value of $768,696.61. The shares are a small portion of outstanding stock (51,710,032 shares outstanding) and were acquired through the issuer's equity compensation plan as restricted stock units that vested between 2014 and 2017.

The filing lists the approximate sale date as 08/13/2025, states there were no securities sold in the past three months by the seller, and includes an attestation that the seller does not possess undisclosed material adverse information about the issuer. The transaction is recorded to be executed via Merrill Lynch at the NYSE.

Insights

Securities Analyst

TL;DR: Insider proposes a modest RSU-derived sale (7,107 shares, ~$769k); this appears immaterial to capitalization.

The filer intends to sell 7,107 shares acquired via vesting of restricted stock units from 2014–2017, with an aggregate market value of $768,696.61. Against 51,710,032 shares outstanding, the lot represents approximately 0.014% of outstanding stock, indicating limited immediate dilution or market impact. The filing confirms no sales in the prior three months and execution through Merrill Lynch on the NYSE. From a market-impact perspective this is routine insider liquidity rather than a material corporate event.

Corporate Governance Expert

TL;DR: The sale stems from equity compensation vesting and includes the required attestation; governance implications appear routine.

The securities were granted as part of the issuer's equity compensation plan and vested between 2014 and 2017, per the filing. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information and indicates the trade will be handled by Merrill Lynch. There is no record of other sales by this person in the past three months, suggesting compliance with disclosure requirements and no immediate red flags on insider trading controls based on this filing alone.

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	7107	768696.61	51710032	08/13/2025	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	05/14/2014	Vesting of restricted stock unit award	PennyMac Financial Services, Inc.			1486	05/14/2014	Granted as part of issuer equity compensation plan
Common Stock	05/14/2016	Vesting of restricted stock unit award	PennyMac Financial Services, Inc.			1487	05/14/2016	Granted as part of issuer equity compensation plan
Common Stock	06/02/2016	Vesting of restricted stock unit award	PennyMac Financial Services, Inc.			1515	06/02/2016	Granted as part of issuer equity compensation plan
Common Stock	06/04/2016	Vesting of restricted stock unit award	PennyMac Financial Services, Inc.			1831	06/04/2016	Granted as part of issuer equity compensation plan
Common Stock	06/02/2017	Vesting of restricted stock unit award	PennyMac Financial Services, Inc.			788	06/02/2017	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)