Welcome to our dedicated page for Pennymac Finl Svcs SEC filings (Ticker: PFSI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
PennyMac Financial Services, Inc. filings document operating results, governance actions and capital-structure matters for a mortgage production and servicing company. Form 8-K reports furnish quarterly and annual financial results, slide presentations and investor updates tied to the company’s production and servicing activities.
Proxy materials cover annual meeting matters, director-election standards and stockholder voting items. Other filings record bylaw amendments, stockholder-agreement references and debt financing disclosures, including senior notes due 2034, secured mortgage servicing rights facilities and related use-of-proceeds language.
The Vanguard Group filed Amendment No. 1 to a Schedule 13G for PennyMac Financial Services Inc Common Stock, reporting 0 shares and 0% beneficial ownership. The filing states Vanguard undertook an internal realignment on January 12, 2026 and, in reliance on SEC Release No. 34-39538 (January 12, 1998), certain subsidiaries will report disaggregated ownership; Vanguard no longer has beneficial ownership of securities held by those subsidiaries. The amendment is signed by Ashley Grim on March 27, 2026.
PennyMac Financial Services, Inc. Chief Investment Officer Marshall Sebring filed an initial ownership report showing 4,215 shares of Common Stock held directly. He also holds nonstatutory stock options covering 4,385 shares at an exercise price of $101.76 and 6,940 shares at $91.49, each vesting in one-third annual installments beginning in 2026 and 2027, respectively.
PennyMac Financial Services, Inc. executive Shiva Iyer, Chief Enterprise Risk Officer, filed an initial statement of beneficial ownership. Iyer directly holds 14,671 shares of Common Stock, consisting of 3,150 restricted stock units and 11,521 shares that are already issued.
The filing also shows 976 Deferred Units, each representing a right to receive one share of Common Stock, payable upon termination of employment. In addition, Iyer holds several nonstatutory stock options on Common Stock, including 3,758 shares at an exercise price of $101.76 per share expiring in 2035 and 2,561 shares at $24.40 per share expiring in 2028, along with other option grants that vest in annual one-third installments.
PennyMac Financial Services, Inc. reported that its board of directors approved an amended and restated version of the company’s bylaws effective March 16, 2026. The changes update references to the company’s name, remove references to a terminated stockholder agreement, and update references to a current stockholder agreement.
The amendment also clarifies the existing majority voting standard that applies to uncontested elections of directors, helping spell out how director elections are decided when there is no competing slate. The full text of the updated bylaws is available as an exhibit to the report.
PennyMac Financial Services Chairman & CEO David Spector and an affiliated entity reported open-market sales of 22,436 shares of Common Stock on March 6, 2026. The trades occurred automatically under a Rule 10b5-1 trading plan adopted on August 8, 2025. Following these transactions, ST Family Investment Company LLC held 80,604 shares indirectly, while Spector held 529,401 shares directly, including 37,841 restricted stock units that settle in the same number of shares upon vesting.
PFSI affiliate filings report proposed sales of Common Stock in multiple transactions. Examples include ST Family Investment Company LLC: 10,000 shares (01/13/2026) and David Spector: 2,336 shares (02/19/2026). The excerpt lists additional sales on 12/16/2025 (5,000 shares) and other entries on 02/19/2026 (including 7,664 and 614 shares).
The notices show acquisition sources such as gift and compensation (performance awards, RSUs) for certain lots; they are presented as proposed dispositions under Form 144 reporting rules.
PennyMac Financial Services Chief Legal Officer Derek Stark reported two stock transactions. On March 3, he completed an open-market sale of 1,066 shares of common stock at $87.66 per share, executed automatically under a Rule 10b5-1 trading plan adopted on October 23, 2025.
On February 28, 467 shares were disposed of at $91.93 per share to cover taxes upon vesting of restricted stock units. After these transactions, Stark’s reported holdings consist of 15,000 shares of common stock and 5,944 restricted stock units, which will settle in the same number of shares upon vesting.
PennyMac Financial Services, Inc. executive Mark Elbaum, Chief Capital Markets Officer, reported a small share disposal related to equity compensation. On this Form 4, 71 shares of common stock were disposed of at $91.93 per share to cover tax obligations upon vesting of restricted stock units.
After this tax-withholding transaction, Elbaum holds share-based interests totaling 5,333 shares, consisting of 1,841 shares of common stock and 3,492 restricted stock units that will settle in an equal number of common shares upon vesting.
PennyMac Financial Services, Inc. Chief Revenue Officer Abbie Tidmore reported a Form 4 showing shares withheld to cover taxes on vesting equity. On February 28, 2026, 300 shares of common stock were disposed of at $91.93 per share as a tax-withholding disposition, rather than an open-market sale. After this transaction, Tidmore held a total of 8,656 equity-linked interests, consisting of 5,330 restricted stock units that will settle in an equal number of common shares upon vesting and 3,326 shares of common stock.
PennyMac Financial Services, Inc. Chief Digital Officer James Follette reported a tax-withholding disposition of 599 shares of common stock on February 28, 2026 at $91.93 per share. These shares were withheld to cover taxes upon vesting of restricted stock units.
Following this transaction, Follette directly held 11,734 shares of common equity interests, consisting of 7,296 restricted stock units and 4,438 shares of common stock. The restricted stock units are scheduled to be settled in an equal number of common shares upon vesting.