PFSI CFO exercises 26,011 options, sells 26,011 shares
PennyMac Financial Services (PFSI) reported an insider transaction by its Chief Financial Officer.
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Form Type
4
Rhea-AI Filing Summary
PennyMac Financial Services (PFSI) reported an insider transaction by its Chief Financial Officer. On 10/24/2025, the CFO exercised options for 11,852 shares at $11.28 and 14,159 shares at $18.05, then sold shares in multiple open‑market tranches: 5,821 at $130.76, 4,072 at $132.93, 1,959 at $133.46, 10,980 at $130.60, 1,859 at $131.41, and 1,320 at $132.21.
Following these transactions, direct holdings shown were 9,964 restricted stock units, and 225,250 shares were held indirectly by The Perotti Family Trust.
Insider Trade Summary
Exercise and Sale: 26,011 shares ($3.03M approx. pre-tax spread)
Exercise and Sale
20 txns
Insider
Perotti Daniel Stanley
Role
Chief Financial Officer
Sold
26,011 shs ($3.42M)
Approx. gross sale proceeds
$3.42M
Approx. exercise cost
$389K
Approx. pre-tax spread
$3.03M
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Nonstatutory Stock Option (Right to Buy) | 11,852 | $0.00 | $0.00 |
| Exercise | Nonstatutory Stock Option (Right to Buy) | 14,159 | $0.00 | $0.00 |
| Exercise | Common Stock | 11,852 | $11.28 | $134K |
| Sale | Common Stock | 5,821 | $130.76 | $761K |
| Sale | Common Stock | 4,072 | $132.93 | $541K |
| Sale | Common Stock | 1,959 | $133.46 | $261K |
| Exercise | Common Stock | 14,159 | $18.05 | $256K |
| Sale | Common Stock | 10,980 | $130.60 | $1.43M |
| Sale | Common Stock | 1,859 | $131.41 | $244K |
| Sale | Common Stock | 1,320 | $132.21 | $175K |
| 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 | -- | -- | -- |
Holdings After Transaction:
Nonstatutory Stock Option (Right to Buy) — 158,541 contracts (Direct);
Common Stock — 9,964 shares (Direct);
Common Stock — 225,250 shares (Indirect, The Perotti Family Trust)
Footnotes (21)
- F1. The reported amount consists of 9,964 restricted stock units and 11,852 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- F2. The price reported is the weighted average price of multiple transactions at prices ranging from $130.30 to $132.22. 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 shares of beneficial interest and the prices at which the transactions were effected.
- F3. The price reported is the weighted average price of multiple transactions at prices ranging from $132.32 to $133.28. 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 shares of beneficial interest and the prices at which the transactions were effected.
- F4. The price reported is the weighted average price of multiple transactions at prices ranging from $133.32 to $133.80. 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 shares of beneficial interest and the prices at which the transactions were effected.
- F5. The reported amount consists of 9,964 restricted stock units and 14,159 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- F6. The price reported is the weighted average price of multiple transactions at prices ranging from $130.05 to $131.02 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 shares of beneficial interest and the prices at which the transactions were effected.
- F7. The price reported is the weighted average price of multiple transactions at prices ranging from $131.06 to $132.01 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 shares of beneficial interest and the prices at which the transactions were effected.
- F8. The price reported is the weighted average price of multiple transactions at prices ranging from $132.09 to $132.62 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 shares of beneficial interest and the prices at which the transactions were effected.
- F9. The reported amount consists of 9,964 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
- F10. This nonstatutory stock option to purchase 11,852 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.
- F11. This nonstatutory stock option to purchase 14,159 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 committed service through each date.
- F12. This nonstatutory stock option to purchase 17,204 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 committed service through each date.
- F13. This nonstatutory stock option to purchase 18,098 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.
- F14. This nonstatutory stock option to purchase 13,506 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.
- F15. This nonstatutory stock option to purchase 23,105 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.
- F16. This nonstatutory stock option to purchase 12,935 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.
- F17. This nonstatutory stock option to purchase 35,792 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.
- F18. This nonstatutory stock option to purchase 12,862 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.
- F19. This nonstatutory stock option to purchase 12,510 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 continued service through each date.
- F20. This nonstatutory stock option to purchase 12,510 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.
- F21. This nonstatutory stock option to purchase 12,529 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 committed service through each date.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What did PFSI’s CFO report on Form 4 dated 10/24/2025?
Option exercises for 11,852 shares at $11.28 and 14,159 shares at $18.05, followed by multiple open‑market sales at prices around $130–$133.
What are the PFSI CFO’s holdings after the transactions?
Direct holdings shown were 9,964 restricted stock units; 225,250 shares were held indirectly by The Perotti Family Trust.
Which transaction codes were used in the PFSI Form 4?
Code M for option exercises (conversions) and code S for open‑market sales.
What is the officer’s role at PennyMac Financial Services (PFSI)?
The reporting person is the company’s Chief Financial Officer.
AI-generated analysis. How Rhea-AI works. Not financial advice.
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