PFSI CEO sells 4,804 & 196 shares at ~$129 via 10b5-1 plan

PennyMac Financial Services (PFSI) reported insider transactions by its Chairman & CEO, who is also a Director.

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Rhea-AI Filing Summary

PennyMac Financial Services (PFSI) reported insider transactions by its Chairman & CEO, who is also a Director. On 11/12/2025, sales executed under a Rule 10b5-1 trading plan resulted in two dispositions: 4,804 shares at a weighted average price of $129.24 and 196 shares at a weighted average price of $129.86.

Following these trades, reported beneficial ownership includes 552,859 securities, consisting of 36,299 restricted stock units and 516,560 shares of Common Stock. Indirect holdings are shown under ST Family Investment Company LLC.

Insider Trade Summary

Net Seller: 5,000 shares

Net Sell 3 txns

Insider SPECTOR DAVID

Role Chairman & CEO

Sold 5,000 shs ($646K)

Type	Security	Shares	Price	Value
Sale	Common Stock	4,804	$129.24	$621K
Sale	Common Stock	196	$129.86	$25K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 115,604 shares (Indirect, ST Family Investment Company LLC); Common Stock — 552,859 shares (Direct)

Footnotes (4)

F1. The sales reported occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 2, 2024.
F2. The price reported is the weighted average price of multiple transactions ranging from $128.57 to $129.56. 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.
F3. The price reported is the weighted average price of multiple transactions ranging from $129.655 to $130.00. 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.
F4. The reported amount consists of 36,299 restricted stock units and 516,560 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 insider transaction did PFSI disclose?

Two open-market sales on 11/12/2025: 4,804 shares at a weighted average price of $129.24 and 196 shares at a weighted average price of $129.86.

Was the sale under a Rule 10b5-1 plan for PFSI?

Yes. The sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted on September 2, 2024.

Who made the trades at PFSI?

The reporting person is the company’s Chairman & CEO and a Director.

How many PFSI securities are beneficially owned after the trades?

A reported 552,859 securities, consisting of 36,299 restricted stock units and 516,560 shares of Common Stock.

What are the price ranges for the reported sales?

For the $129.24 average: $128.57–$129.56. For the $129.86 average: $129.655–$130.00.

Are there indirect holdings reported at PFSI?

Yes. Indirect ownership is listed under ST Family Investment Company LLC.

What does the weighted average price disclosure mean?

Multiple trades occurred within stated ranges; detailed trade amounts and prices are available upon request to the SEC, the issuer, or a security holder.

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

Form 4 Insider Transactions: What Each Field Means →

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Accepted by SEC EDGAR 11/13/2025 - 05:28 PM EST

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^*

SPECTOR DAVID

(Last)

(First)

(Middle)

C/O PENNYMAC FINANCIAL SERVICES, INC.

3043 TOWNSGATE ROAD

(Street)

WESTLAKE VILLAGE

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)
	Chairman & CEO

3. Date of Earliest Transaction (Month/Day/Year)
11/12/2025

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	11/12/2025		S		4,804⁽¹⁾	D	$129.24⁽²⁾	115,800	I	ST Family Investment Company LLC
Common Stock	11/12/2025		S		196⁽¹⁾	D	$129.86⁽³⁾	115,604	I	ST Family Investment Company LLC
Common Stock								552,859⁽⁴⁾	D

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. The sales reported occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 2, 2024.

2. The price reported is the weighted average price of multiple transactions ranging from $128.57 to $129.56. 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.

3. The price reported is the weighted average price of multiple transactions ranging from $129.655 to $130.00. 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.

4. The reported amount consists of 36,299 restricted stock units and 516,560 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. Spector	11/13/2025
	** 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.

Source: View Original Filing on SEC EDGAR