PennyMac director Sunil Chandra receives 550 shares

A non-management director's reported post-transaction position comprises 1,963 restricted stock units and 3,735 shares of Common Stock.

Available on EDGAR 11/04/2026 - 06:35 PM EST Accepted by SEC EDGAR 11/04/2026 - 06:34 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

PennyMac Financial Services, Inc. (PFSI) director Sunil Chandra acquired 550 shares on November 3, 2026, in lieu of cash compensation payable for services rendered as a non-management director during the previous quarter. The reported transaction price was $57.75 per share. His reported direct position afterward was 5,698, consisting of 1,963 restricted stock units and 3,735 shares of Common Stock; the units are to be settled in an equal number of shares upon vesting.

Insider Trade Summary

Grant/Award: 550 shares

Grant/Award 1 txn

Insider Chandra Sunil

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1, F2	550	$57.75	$32K

Holdings After Transaction: Common Stock — 5,698 shares (Direct)

Holdings Before and After: Common Stock, 5,148 to 5,698 shares (Direct)

Footnotes (2)

1. F1. The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of Issuer during the previous quarter. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934.
2. F2. The reported amount consists of 1,963 restricted stock units and 3,735 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Key Figures

Shares received: 550 shares Transaction price: $57.75 per share Reported position after transaction: 5,698 +2 more

5 metrics

Shares received 550 shares November 3, 2026

Transaction price $57.75 per share November 3, 2026

Reported position after transaction 5,698 Consists of restricted stock units and shares of Common Stock

Restricted stock units 1,963 units To be settled in an equal number of shares of Common Stock upon vesting

Common Stock 3,735 shares Reported position after transaction

Key Terms

restricted stock units, vesting, Rule 16b-3

3 terms

restricted stock units financial

"1,963 restricted stock units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

vesting financial

"upon vesting"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

Rule 16b-3 regulatory

"exempt under Rule 16b-3"

Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.

FAQ

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

How many shares did PFSI director Sunil Chandra receive?

Sunil Chandra received 550 shares on November 3, 2026, in lieu of cash compensation payable for services rendered as a non-management director during the previous quarter. The reported transaction price was $57.75 per share.

What were Sunil Chandra's reported PFSI holdings after the transaction?

His reported direct position afterward was 5,698, consisting of 1,963 restricted stock units and 3,735 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares upon vesting.

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

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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^*

Chandra Sunil

(Last) (First) (Middle)

C/O PENNYMAC FINANCIAL SERVICES, INC.

3043 TOWNSGATE ROAD

(Street)

WESTLAKE VILLAGE CALIFORNIA 91361

(City) (State) (Zip)

UNITED STATES

(Country)

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
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/03/2026

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

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

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

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	11/03/2026		A		550(1)	A	$57.75	5,698(2)	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of Issuer during the previous quarter. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934.

2. The reported amount consists of 1,963 restricted stock units and 3,735 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. Chandra	11/04/2026
	** 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.
* Form 4: SEC 1474 (03-26)