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PennyMac Financial Services (PFSI) CEO discloses 10b5-1 stock sales

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

PennyMac Financial Services, Inc. reported that its Chairman and CEO executed pre-planned stock sales under a Rule 10b5-1 trading plan. On 12/16/2025, the reporting person sold 1,699, 2,763 and 538 shares of common stock in three separate transactions, all coded as sales. The weighted average sale prices were $129.10, $130.07 and $130.68, each representing multiple trades within stated price ranges.

Following these transactions, the reporting person beneficially owned 110,604 shares of common stock indirectly through ST Family Investment Company LLC and 552,859 shares directly, which includes 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.

Positive

  • None.

Negative

  • None.
Insider SPECTOR DAVID
Role Chairman & CEO
Sold 5,000 shs ($649K)
Type Security Shares Price Value
Sale Common Stock 1,699 $129.10 $219K
Sale Common Stock 2,763 $130.07 $359K
Sale Common Stock 538 $130.68 $70K
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 113,905 shares (Indirect, ST Family Investment Company LLC); Common Stock — 552,859 shares (Direct)
Footnotes (1)
  1. The sales reported occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 2, 2024. The price reported is the weighted average price of multiple transactions ranging from $128.58 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. The price reported is the weighted average price of multiple transactions ranging from $129.58 to $130.55. 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 price reported is the weighted average price of multiple transactions ranging from $130.595 to $130.81. 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 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.
Form 4 Insider Transactions: What Each Field Means →
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).
X
 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 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)
Chairman & CEO
3. Date of Earliest Transaction (Month/Day/Year)
12/16/2025
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)
Code V Amount (A) or (D) Price
Common Stock 12/16/2025 S 1,699(1) D $129.1(2) 113,905 I ST Family Investment Company LLC
Common Stock 12/16/2025 S 2,763(1) D $130.07(3) 111,142 I ST Family Investment Company LLC
Common Stock 12/16/2025 S 538(1) D $130.68(4) 110,604 I ST Family Investment Company LLC
Common Stock 552,859(5) 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 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 $128.58 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 $129.58 to $130.55. 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 price reported is the weighted average price of multiple transactions ranging from $130.595 to $130.81. 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.
5. 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 12/18/2025
** 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

FAQ

What insider transaction did PennyMac Financial Services (PFSI) report?

The Chairman and CEO of PennyMac Financial Services, Inc. reported open-market sales of common stock on 12/16/2025 in three separate transactions.

How many PennyMac (PFSI) shares were sold in the reported transactions?

The reporting person sold 1,699, 2,763 and 538 shares of common stock in three sales reported for 12/16/2025.

At what prices were the PennyMac (PFSI) insider sales executed?

The weighted average sale prices were $129.10 for 1,699 shares, $130.07 for 2,763 shares, and $130.68 for 538 shares, each based on multiple trades within disclosed ranges.

Were the PennyMac (PFSI) insider sales under a Rule 10b5-1 plan?

Yes. The filing states the sales occurred automatically under a Rule 10b5-1 trading plan adopted on September 2, 2024 by the reporting person.

How many PennyMac (PFSI) shares does the insider own after these transactions?

After the reported sales, the insider beneficially owned 110,604 shares indirectly through ST Family Investment Company LLC and 552,859 shares directly.

What portion of the remaining PennyMac (PFSI) holdings are restricted stock units?

Of the 552,859 directly held shares, 36,299 are restricted stock units that will be settled in an equal number of common shares upon vesting.