PFSI Form 4: Option exercise and sale on Nov 5, 2025
Filing Impact
Filing Sentiment
Form Type
4
Rhea-AI Filing Summary
PennyMac Financial Services (PFSI): A reporting officer/director filed a Form 4 for transactions on 11/05/2025. The filer exercised 4,318 stock options at $11.28 per share and sold 4,318 shares at a weighted average price of $126.09, with trades ranging from $126.00 to $126.45. Following the transactions, the filer reported 19,056 shares directly (restricted stock units scheduled to settle in shares upon vesting), plus indirect holdings of 15,337 shares via The Jones Family Trust and 450,000 shares via GR Family Investments LLC. The filer also reports multiple nonstatutory stock option grants outstanding, including 23,453 remaining at a $11.28 exercise price, with other grants expiring between 2026 and 2035.
Positive
- None.
Negative
- None.
Insider Trade Summary
Net Seller: 4,318 shares ($544,457)
Net Sell
15 txns
Insider
Jones Doug
Role
Director, President & CMBO
Sold
4,318 shs ($544K)
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Nonstatutory Stock Option (Right to Buy) | 4,318 | $0.00 | -- |
| Exercise | Common Stock | 4,318 | $11.28 | $49K |
| Sale | Common Stock | 4,318 | $126.09 | $544K |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Nonstatutory Stock Option (Right to Buy) | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Nonstatutory Stock Option (Right to Buy) — 23,453 shares (Direct);
Common Stock — 23,374 shares (Direct);
Common Stock — 15,337 shares (Indirect, The Jones Family Trust)
Footnotes (1)
- The reported amount consists of 19,056 restricted stock units and 4,318 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. The price reported is the weighted average price of multiple transactions ranging from $126.00 to $126.45. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected. The reported amount consists of 19,056 restricted stock units which are to be settled in an equal number of shares of Common Stock upon vesting. This nonstatutory stock option to purchase 27,771 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 7, 2017, 2018 and 2019, subject to the Reporting Person's committed service through each date. This nonstatutory stock option to purchase 34,626 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 26,467 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 27,744 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 15, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 54,024 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in one-third increments on each of December 14, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 30,366 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 29,566 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 54,063 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 23, 2023, 2024 and 2025, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 25,724 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 24, 2024, 2025 and 2026, subject to the Reporting Person's continued service through each date. This nonstatutory stock option to purchase 27,044 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's committed service through each date. This nonstatutory stock option to purchase 21,456 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 14, 2026, 2027 and 2028, subject to the Reporting Person's continued service through each date.
FAQ
What did PFSI’s insider report on the latest Form 4?
An option exercise of 4,318 shares at $11.28 per share and a sale of 4,318 shares at a $126.09 weighted average on 11/05/2025.
What indirect PFSI holdings were disclosed?
15,337 shares held via The Jones Family Trust and 450,000 shares via GR Family Investments LLC.
What options remain outstanding for the insider?
Nonstatutory stock options remain outstanding, including 23,453 at a $11.28 exercise price, with other grants expiring from 2026 to 2035.
What roles does the reporting person hold at PFSI?
Director and Officer (Director, President & CMBO).