PFSI CDO reports tax-withheld 554-share RSU vest

PennyMac Financial Services, Inc. Chief Digital Officer James Follette reported a tax-related share disposition.

Rhea-AI Filing Summary

PennyMac Financial Services, Inc. Chief Digital Officer James Follette reported a tax-related share disposition. On February 24, 2026, 554 shares of common stock were withheld at $90.33 per share to cover taxes upon vesting of restricted stock units. After this withholding, Follette held a total of 12,333 shares and units, consisting of 8,473 restricted stock units and 3,860 shares of common stock.

Insider Trade Summary

Exercise Price or Tax Liability: 554 shares

Exercise Price or Tax Liability 1 txn

Insider Follette James

Role Chief Digital Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	554	$90.33	$50K

Holdings After Transaction: Common Stock — 12,333 shares (Direct)

Footnotes (2)

1. F1. Represents shares withheld for taxes upon vesting of restricted share units.
2. F2. The reported amount consists of 8,473 restricted stock units and 3,860 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 executive James Follette report?

James Follette reported a tax-withholding disposition of 554 PennyMac Financial Services (PFSI) common shares. The shares were withheld on February 24, 2026 to satisfy tax obligations triggered by the vesting of restricted stock units, not an open-market sale.

Was the PFSI Form 4 transaction an open-market sale of stock?

No, the transaction was not an open-market sale. The 554 PFSI shares were withheld by the company at $90.33 per share to cover taxes when restricted stock units vested, described as a tax-withholding disposition rather than a discretionary stock sale.

How many PFSI shares and units does James Follette hold after this Form 4?

After the transaction, James Follette holds 12,333 PFSI-related interests. This total includes 8,473 restricted stock units and 3,860 shares of common stock, with the units scheduled to settle into an equal number of common shares upon future vesting events.

What price was used for the PFSI tax-withholding share disposition?

The tax-withholding disposition used a share price of $90.33 for PFSI common stock. At this price, 554 shares were withheld to cover tax liabilities arising from the vesting of restricted stock units held by Chief Digital Officer James Follette.

What does the Form 4 say about Follette’s restricted stock units in PFSI?

The Form 4 states that James Follette holds 8,473 restricted stock units in PFSI. These restricted stock units will be settled in an equal number of common shares upon vesting, in addition to 3,860 common shares he already directly owns.

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

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Accepted by SEC EDGAR 02/26/2026 - 08:05 PM EST Learn about SEC filing dates

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^*

Follette James

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Digital Officer

3. Date of Earliest Transaction (Month/Day/Year)
02/24/2026

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	02/24/2026		F		554(1)	D	$90.33	12,333(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. Represents shares withheld for taxes upon vesting of restricted share units.

2. The reported amount consists of 8,473 restricted stock units and 3,860 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. Follette	02/26/2026
	** 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.