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PennyMac (PFSI) CFO sells 2,925 shares under 10b5-1 family trust plan

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

Rhea-AI Filing Summary

PennyMac Financial Services, Inc. Chief Financial Officer Daniel Stanley Perotti reported an open‑market sale of 2,925 shares of Common Stock at $87.50 per share. The transaction was executed indirectly through The Perotti Family Trust and was carried out automatically under a Rule 10b5-1 trading plan adopted by the reporting person.

Following this sale, indirect holdings through the trust totaled 210,625 shares of Common Stock. Separately, Perotti holds 15,701 shares directly, consisting of 10,409 restricted stock units and 5,292 shares of Common Stock that will be delivered upon vesting of the units.

Positive

  • None.

Negative

  • None.
Insider Perotti Daniel Stanley
Role Chief Financial Officer
Sold 2,925 shs ($256K)
Type Security Shares Price Value
Sale Common Stock 2,925 $87.50 $256K
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 210,625 shares (Indirect, The Perotti Family Trust); Common Stock — 15,701 shares (Direct, null)
Footnotes (1)
  1. The sale reported on this Form 4 occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 2, 2025. The reported amount consists of 10,409 restricted stock units and 5,292 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
Shares sold 2,925 shares Open-market sale of Common Stock
Sale price $87.50 per share Price for 2,925-share sale
Indirect holdings after sale 210,625 shares Held by The Perotti Family Trust after transaction
Direct holdings 15,701 shares Direct ownership by Daniel Perotti following reported transactions
Restricted stock units 10,409 RSUs Part of direct holdings; settle in equal Common Stock upon vesting
Direct common shares 5,292 shares Direct Common Stock component of Perotti’s 15,701-share holding
Net buy/sell direction net-sell of 2,925 shares Transaction summary for this Form 4
Rule 10b5-1 trading plan regulatory
"occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person"
A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.
restricted stock units financial
"The reported amount consists of 10,409 restricted stock units and 5,292 shares of Common Stock."
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.
indirect financial
"indirect ownership through The Perotti Family Trust"
open-market sale financial
"transaction_action: open-market sale"
An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.
Common Stock financial
"sale of 2,925 shares of Common Stock at $87.50 per share"
Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
Perotti Daniel Stanley
(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
Chief Financial Officer
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/15/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
Common Stock05/15/2026S2,925(1)D$87.5210,625IThe Perotti Family Trust
Common Stock15,701(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. The sale reported on this Form 4 occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 2, 2025.
2. The reported amount consists of 10,409 restricted stock units and 5,292 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. Perotti05/18/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did PFSI CFO Daniel Perotti report?

Daniel Perotti reported an open-market sale of 2,925 shares of PennyMac Financial Services Common Stock at $87.50 per share. The transaction was executed indirectly through The Perotti Family Trust under a pre-established Rule 10b5-1 trading plan.

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

Yes. The sale of 2,925 PennyMac Financial Services shares occurred automatically under a Rule 10b5-1 trading plan adopted by the reporting person. Such plans pre-schedule trades, reducing the significance of the exact timing of the transaction.

How many PFSI shares does the Perotti Family Trust hold after the sale?

After selling 2,925 shares, The Perotti Family Trust holds 210,625 shares of PennyMac Financial Services Common Stock. This reflects the trust’s remaining indirect ownership associated with CFO Daniel Perotti following the reported transaction.

What are Daniel Perotti’s direct holdings of PFSI stock?

Daniel Perotti directly holds 15,701 PennyMac Financial Services shares. This amount consists of 10,409 restricted stock units and 5,292 shares of Common Stock, with the units settling into an equal number of shares upon vesting.

Is the PFSI CFO’s transaction mainly a sale or purchase?

The activity is mainly a sale. Transaction data show one open-market sale of 2,925 shares and no purchases, resulting in net-sell activity, while the CFO maintains substantial remaining indirect and direct ownership positions in PennyMac Financial Services.