PennyMac’s Doug Jones has shares withheld for taxes

PennyMac Financial Services director and president Doug Jones had shares withheld to cover taxes on vested stock units.

Rhea-AI Filing Summary

PennyMac Financial Services director and president Doug Jones had shares withheld to cover taxes on vested stock units. On the transaction date, 1,597 shares of common stock were disposed at an indicated price of $90.33 per share as a tax-withholding disposition, not an open‑market sale.

After this withholding, Jones held 30,792 shares directly, including restricted stock units and common stock that settle in shares upon vesting, and also had indirect ownership of additional common stock through The Jones Family Trust and GR Family Investments LLC.

Insider Trade Summary

Exercise Price or Tax Liability: 1,597 shares

Exercise Price or Tax Liability 3 txns

Insider Jones Doug

Role Director, President & CMBO

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	1,597	$90.33	$144K
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 30,792 shares (Direct); Common Stock — 15,337 shares (Indirect, The Jones Family Trust); Common Stock — 410,000 shares (Indirect, GR Family Investments LLC)

Footnotes (2)

1. F1. Represents shares withheld for taxes upon vesting of restricted stock units.
2. F2. The reported amount consists of 22,180 restricted stock units and 8,612 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Doug Jones report in this PennyMac (PFSI) Form 4 filing?

Doug Jones reported a tax-related share disposition. 1,597 PennyMac common shares were withheld to satisfy taxes upon vesting of restricted stock units, recorded at $90.33 per share, rather than sold in an open market transaction.

How many PennyMac (PFSI) shares does Doug Jones own directly after this transaction?

After the tax-withholding disposition, Doug Jones directly owned 30,792 PennyMac shares. This total consists of 22,180 restricted stock units plus 8,612 shares of common stock, with the units settling in an equal number of shares as they vest over time.

Were the 1,597 PennyMac (PFSI) shares sold by Doug Jones on the open market?

The 1,597 PennyMac shares were not sold on the open market. They were withheld to cover tax obligations arising from the vesting of restricted stock units, which is recorded as a disposition but functions as a tax payment mechanism.

What indirect PennyMac (PFSI) holdings are associated with Doug Jones?

Doug Jones reports indirect ownership of PennyMac common stock through The Jones Family Trust and GR Family Investments LLC. Following the reported date, these entities held 15,337 and 410,000 shares respectively, in addition to his directly held and restricted stock unit positions.

What role does Doug Jones hold at PennyMac Financial Services (PFSI)?

Doug Jones serves as a director and as President & CMBO at PennyMac Financial Services. His Form 4 filing reflects equity compensation activity and related tax withholding tied to his executive and board roles at the company.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 02/26/2026 - 08:10 PM EST Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Jones Doug

(Last) (First) (Middle)

C/O PENNYMAC FINANCIAL SERVICES, INC.

3043 TOWNSGATE ROAD

(Street)

WESTLAKE VILLAGE CA 91361

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
PennyMac Financial Services, Inc. [ PFSI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Director, President & CMBO

3. Date of Earliest Transaction (Month/Day/Year)
02/24/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	02/24/2026		F		1,597(1)	D	$90.33	30,792(2)	D
Common Stock								15,337	I	The Jones Family Trust
Common Stock								410,000	I	GR Family Investments LLC

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents shares withheld for taxes upon vesting of restricted stock units.

2. The reported amount consists of 22,180 restricted stock units and 8,612 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

	/s/ Derek W. Stark, attorney-in-fact for Mr. Jones	02/26/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.