Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PNMAC Holdings, Inc.PFSI · Entity 162615 | CALO | February 20, 2018 | February 21, 2018 |
| PennyMac Financial Services, Inc.PFSI · Entity 4100 | Chief Enterprise Ops Officer | March 17, 2021 | March 17, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PNMAC Holdings, Inc.
Report date February 20, 2018 · Filed February 21, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | IndirectThe Grogin Living Trust dtd 12-19-01 | 0 |
Reported balance
After 2018-02-20 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-02-20 · Sale · Disposed 5,000 · Balance 0 F1: These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan. F2: The price reported is the weighted average price of multiple transactions ranging from $24.10 to $25.00. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected. |
| Class A Common StockSEC Table I · non-derivative | Direct | 9,002 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 9,002 F3: The reported amount consists of 9,002 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting. |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCSEC Table II · derivative / convertible security | IndirectAdult Daughter | 11,064.27 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 11,064.27 F4: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments. F5: These securities are held by the reporting person's adult daughter who is no longer living at home and the reporting person disclaims beneficial ownership of such securities. |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCSEC Table II · derivative / convertible security | IndirectJBG Children's Trust utd 12/31/2000 | 33,193 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 33,193 F4: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments. |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCSEC Table II · derivative / convertible security | IndirectMJG Children's Trust utd 12/31/2000 | 22,128.73 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 22,128.73 F4: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments. |
| Cl A Units of Private Nat'l Mortgage Acceptance Company, LLCSEC Table II · derivative / convertible security | IndirectThe Grogin Living Trust dtd 12-19-01 | 482,580 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 482,580 F4: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments. |
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.03 · Expires 2023-06-12 | Direct | 15,882 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 15,882 F6: This nonstatutory stock option to purchase 15,882 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date. |
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.26 · Expires 2024-02-25 | Direct | 28,216 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 28,216 F7: This nonstatutory stock option to purchase 28,216 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date. |
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.52 · Expires 2025-03-02 | Direct | 23,829 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 23,829 F8: This nonstatutory stock option to purchase 23,829 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date. |
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.28 · Expires 2026-03-06 | Direct | 27,771 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 27,771 F9: This nonstatutory stock option to purchase 27,771 shares of Class A 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. |
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.05 · Expires 2027-03-05 | Direct | 22,506 |
Reported balance
Holding disclosure · report date 2018-02-20 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 22,506 F10: This nonstatutory stock option to purchase 22,506 shares of Class A 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.
F2: The price reported is the weighted average price of multiple transactions ranging from $24.10 to $25.00. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Class A Common Stock and the prices at which the transactions were effected.
F3: The reported amount consists of 9,002 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.
F4: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of the Issuer on a one-for-one basis, subject to customary conversion rate adjustments.
F5: These securities are held by the reporting person's adult daughter who is no longer living at home and the reporting person disclaims beneficial ownership of such securities.
F6: This nonstatutory stock option to purchase 15,882 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.
F7: This nonstatutory stock option to purchase 28,216 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date.
F8: This nonstatutory stock option to purchase 23,829 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date.
F9: This nonstatutory stock option to purchase 27,771 shares of Class A 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.
F10: This nonstatutory stock option to purchase 22,506 shares of Class A 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.
PennyMac Financial Services, Inc.
Report date March 17, 2021 · Filed March 17, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 24,579 |
Reported balance
After 2021-03-17 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2021-03-17 · Sale · Disposed 1,246 · Balance 24,579 F1: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F2: The reported amount consists of 7,744 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. |
| Common StockSEC Table I · non-derivative | IndirectJBG Children's Trust utd 12/31/2000 | 21,000 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 21,000 |
| Common StockSEC Table I · non-derivative | IndirectMJG Children's Trust utd 12/31/2000 | 22,129 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 22,129 |
| Common StockSEC Table I · non-derivative | IndirectThe Grogin Living Trust dtd 12-19-01 | 453,655 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 453,655 |
| Common StockSEC Table I · non-derivative | IndirectGrogin Giving Fund | 4,395 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 4,395 |
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.40 · Expires 2028-03-08 | Direct | 5,735 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 5,735 F3: 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 March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date. |
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.03 · Expires 2030-02-25 | Direct | 17,824 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 17,824 F4: This nonstatutory stock option to purchase 17,824 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. |
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $58.85 · Expires 2031-02-24 | Direct | 9,239 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 9,239 F5: This nonstatutory stock option to purchase 9,239 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. |
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.92 · Expires 2029-03-14 | Direct | 12,038 |
Reported balance
Holding disclosure · report date 2021-03-17 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 12,038 F6: This nonstatutory stock option to purchase 18,057 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of Common Stock were sold pursuant to a 10b5-1 plan.
F2: The reported amount consists of 7,744 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.
F3: 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 March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date.
F4: This nonstatutory stock option to purchase 17,824 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.
F5: This nonstatutory stock option to purchase 9,239 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.
F6: This nonstatutory stock option to purchase 18,057 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.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
PennyMac Mortgage Investment Trust
Report date March 12, 2021 · Filed March 16, 2021
Section 16 reporting ended · disclosed 2018-03-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Shares of Beneficial InterestSEC Table I · non-derivative | Direct | 37,284 |
Reported balance
After 2021-03-12 transaction · row 1
1 source rowRow 1 · 2021-03-12 · Tax withholding · Disposed 865 · Balance 37,284 F1: Represents shares withheld for taxes upon vesting of restricted share units. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares withheld for taxes upon vesting of restricted share units.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 17, 2021 Filed Mar 17, 2021 18:29 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 1,246 | $66.45 | $82,796.70 |
DisclosureSEC source: 0001127602-21-011177 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,579 F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F2 · balance_after: The reported amount consists of 7,744 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 18:33 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Tax withholdingCommon Stock | 1,161 | $65.70 | $76,277.70 |
DisclosureSEC source: 0001127602-21-010866 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,825 F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units. F2 · balance_after: The reported amount consists of 7,744 restricted stock units and 18,081 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| March 12, 2021 Filed Mar 16, 2021 22:18 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | Tax withholdingCommon Shares of Beneficial Interest | 865 | $19.60 | $16,954.00 |
DisclosureSEC source: 0001127602-21-010859 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,284 F1 · shares: Represents shares withheld for taxes upon vesting of restricted share units. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 18:15 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 1,210 | $66.18 | $80,077.80 |
DisclosureSEC source: 0001127602-21-010624 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,986 F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F2 · balance_after: The reported amount consists of 10,151 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| March 09, 2021 Filed Mar 11, 2021 16:50 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Tax withholdingCommon Stock | 1,084 | $61.68 | $66,861.12 |
DisclosureSEC source: 0001127602-21-010242 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,196 F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units. F2 · balance_after: The reported amount consists of 10,151 restricted stock units and 18,045 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| March 02, 2021 Filed Mar 4, 2021 17:24 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 924 | $61.71 | $57,020.04 |
DisclosureSEC source: 0001127602-21-009442 · form4.xml · nonDerivative · entry 3 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,280 F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F6 · balance_after: The reported amount consists of 12,445 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| March 01, 2021 Filed Mar 4, 2021 17:24 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 1,150 | $60.99 | $70,135.51 |
DisclosureSEC source: 0001127602-21-009442 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,204 F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F4 · price: The price reported is the weighted average price of multiple transactions ranging from $60.83 to $61.34. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F5 · balance_after: The reported amount consists of 12,445 restricted stock units and 17,759 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| March 01, 2021 Filed Mar 4, 2021 17:24 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 7,751 | $60.24 | $466,927.99 |
DisclosureSEC source: 0001127602-21-009442 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,354 F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F2 · price: The price reported is the weighted average price of multiple transactions ranging from $59.83 to $60.74. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F3 · balance_after: The reported amount consists of 12,445 restricted stock units and 18,909 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| February 26, 2021 Filed Mar 1, 2021 18:58 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Tax withholdingCommon Stock | 681 | $58.85 | $40,076.85 |
DisclosureSEC source: 0001127602-21-008524 · form4.xml · nonDerivative · entry 4 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,105 F7 · shares: Represents shares withheld for taxes upon vesting of restricted stock units. F8 · balance_after: The reported amount consists of 12,445 restricted stock units and 26,660 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 18:58 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionPerformance-Based Restricted Stock Units · Derivative | 17,891 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008524 · form4.xml · derivative · entry 11 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,891 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%. F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%. F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 18:58 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GrantPerformance-Based Restricted Stock Units · Derivative | 17,891 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008524 · form4.xml · derivative · entry 10 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,891 Underlying: Common Stock · 17,891 shares Expires not disclosed F3 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%. F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%. F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 18:58 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GrantNonstatutory Stock Option (Right to Buy) · Derivative | 9,239 | $0.00 Strike: $58.85 | $0.00 |
DisclosureSEC source: 0001127602-21-008524 · form4.xml · derivative · entry 9 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,239 Underlying: Common Stock · 9,239 shares Expires 2031-02-24 Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 18:58 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Tax withholdingCommon Stock | 8,990 | $62.33 | $560,346.70 |
DisclosureSEC source: 0001127602-21-008524 · form4.xml · nonDerivative · entry 3 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,786 F5 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units. F6 · balance_after: The reported amount consists of 14,050 restricted stock units and 25,736 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 18:58 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 17,891 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008524 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,776 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%. F4 · balance_after: The reported amount consists of 14,050 restricted stock units and 34,726 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| February 25, 2021 Filed Mar 1, 2021 18:58 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GrantCommon Stock | 2,124 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008524 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,885 F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting. F2 · balance_after: The reported amount consists of 14,050 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| February 01, 2021 Filed Feb 2, 2021 17:19 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 11,469 | $0.00 Strike: $24.40 | $0.00 |
DisclosureSEC source: 0001127602-21-003542 · form4.xml · derivative · entry 7 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,735 Underlying: Common Stock · 11,469 shares Expires 2028-03-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F6 · derivative.underlying_shares: 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 March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date. Read SEC document |
| February 01, 2021 Filed Feb 2, 2021 17:19 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 11,469 | $58.39 | $669,728.81 |
DisclosureSEC source: 0001127602-21-003542 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,761 F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F4 · price: The price reported is the weighted average price of multiple transactions ranging from $57.82 to $58.80. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F5 · balance_after: The reported amount consists of 11,926 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| February 01, 2021 Filed Feb 2, 2021 17:19 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 11,469 | $24.40 | $279,843.60 |
DisclosureSEC source: 0001127602-21-003542 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,230 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F2 · balance_after: The reported amount consists of 11,926 restricted stock units and 28,304 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 6,019 | $0.00 Strike: $22.92 | $0.00 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · derivative · entry 15 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,038 Underlying: Common Stock · 6,019 shares Expires 2029-03-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F19 · derivative.underlying_shares: This nonstatutory stock option to purchase 18,057 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. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 7,502 | $0.00 Strike: $18.05 | $0.00 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · derivative · entry 14 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,502 shares Expires 2027-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F18 · derivative.underlying_shares: This nonstatutory stock option to purchase 22,506 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. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 600 | $66.27 | $39,762.00 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 9 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,761 F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F17 · balance_after: The reported amount consists of 11,926 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 800 | $65.46 | $52,370.56 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 8 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,361 F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F15 · price: The price reported is the weighted average price of multiple transactions ranging from $65.11 to $65.70. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F16 · balance_after: The reported amount consists of 11,926 restricted stock units and 17,435 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 1,174 | $64.58 | $75,814.22 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 7 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,161 F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F13 · price: The price reported is the weighted average price of multiple transactions ranging from $64.24 to $65.03. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F14 · balance_after: The reported amount consists of 11,926 restricted stock units and 18,235 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 1,225 | $63.70 | $78,028.46 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 6 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,335 F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F11 · price: The price reported is the weighted average price of multiple transactions ranging from $63.20 to $64.09. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F12 · balance_after: The reported amount consists of 11,926 restricted stock units and 19,409 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 3,400 | $62.79 | $213,470.70 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 5 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,560 F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F9 · price: The price reported is the weighted average price of multiple transactions ranging from $62.10 to $63.07. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F10 · balance_after: The reported amount consists of 11,926 restricted stock units and 20,634 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 2,670 | $61.63 | $164,559.04 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 4 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,960 F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F7 · price: The price reported is the weighted average price of multiple transactions ranging from $61.105 to $62.08. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F8 · balance_after: The reported amount consists of 11,926 restricted stock units and 24,034 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 3,652 | $60.63 | $221,438.65 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 3 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,630 F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F5 · price: The price reported is the weighted average price of multiple transactions ranging from $60.10 to $61.07. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F6 · balance_after: The reported amount consists of 11,926 restricted stock units and 26,704 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 6,019 | $22.92 | $137,955.48 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,282 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F3 · balance_after: The reported amount consists of 11,926 restricted stock units and 30,356 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 17:07 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 7,502 | $18.05 | $135,411.10 |
DisclosureSEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,263 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F2 · balance_after: The reported amount consists of 11,926 restricted stock units and 24,337 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| December 17, 2020 Filed Feb 12, 2021 19:29 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GiftCommon Stock | 4,630 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-005544 · form5.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Grogin Giving Fund Disclosed balance after: 4,395 F1 · shares: Represents a bona fide gift of shares of Common Stock to a charitable organization. Read SEC document |
| December 01, 2020 Filed Dec 2, 2020 16:57 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 9,225 | $0.00 Strike: $18.05 | $0.00 |
DisclosureSEC source: 0001127602-20-030310 · form4.xml · derivative · entry 8 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,502 Underlying: Common Stock · 9,225 shares Expires 2027-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F8 · derivative.underlying_shares: This nonstatutory stock option to purchase 22,506 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. Read SEC document |
| December 01, 2020 Filed Dec 2, 2020 16:57 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 3,225 | $59.11 | $190,634.59 |
DisclosureSEC source: 0001127602-20-030310 · form4.xml · nonDerivative · entry 3 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,761 F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F6 · price: The price reported is the weighted average price of multiple transactions ranging from $58.88 to $59.42. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F7 · balance_after: The reported amount consists of 11,926 restricted stock units and 16,835 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| December 01, 2020 Filed Dec 2, 2020 16:57 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 6,000 | $58.35 | $350,108.40 |
DisclosureSEC source: 0001127602-20-030310 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,986 F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F4 · price: The price reported is the weighted average price of multiple transactions ranging from $57.83 to $58.82. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F5 · balance_after: The reported amount consists of 11,926 restricted stock units and 26,060 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| December 01, 2020 Filed Dec 2, 2020 16:57 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 9,225 | $18.05 | $166,511.25 |
DisclosureSEC source: 0001127602-20-030310 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,986 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F2 · balance_after: The reported amount consists of 11,926 restricted stock units and 26,060 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 17:30 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 5,779 | $0.00 Strike: $18.05 | $0.00 |
DisclosureSEC source: 0001127602-20-028045 · form4.xml · derivative · entry 10 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,727 Underlying: Common Stock · 5,779 shares Expires 2027-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F10 · derivative.underlying_shares: This nonstatutory stock option to purchase 22,506 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. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 17:30 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 3,446 | $0.00 Strike: $17.52 | $0.00 |
DisclosureSEC source: 0001127602-20-028045 · form4.xml · derivative · entry 9 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,446 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F9 · derivative.underlying_shares: This nonstatutory stock option to purchase 23,829 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 17:30 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 2,900 | $51.67 | $149,835.17 |
DisclosureSEC source: 0001127602-20-028045 · form4.xml · nonDerivative · entry 4 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,761 F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F7 · price: The price reported is the weighted average price of multiple transactions ranging from $51.50 to $51.94. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F8 · balance_after: The reported amount consists of 12,286 restricted stock units and 16,475 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 17:30 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 6,325 | $51.08 | $323,077.21 |
DisclosureSEC source: 0001127602-20-028045 · form4.xml · nonDerivative · entry 3 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,661 F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F5 · price: The price reported is the weighted average price of multiple transactions ranging from $50.50 to $51.47. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F6 · balance_after: The reported amount consists of 12,286 restricted stock units and 19,375 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 17:30 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 5,779 | $18.05 | $104,310.95 |
DisclosureSEC source: 0001127602-20-028045 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,986 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F3 · balance_after: The reported amount consists of 12,286 restricted stock units and 25,700 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 17:30 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 3,446 | $17.52 | $60,373.92 |
DisclosureSEC source: 0001127602-20-028045 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,207 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F2 · balance_after: The reported amount consists of 12,286 restricted stock units and 19,921 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| October 01, 2020 Filed Oct 2, 2020 18:29 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 9,225 | $0.00 Strike: $17.52 | $0.00 |
DisclosureSEC source: 0001127602-20-026395 · form4.xml · derivative · entry 9 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,446 Underlying: Common Stock · 9,225 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F10 · derivative.underlying_shares: This nonstatutory stock option to purchase 23,829 shares of Class A Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date. Read SEC document |
| October 01, 2020 Filed Oct 2, 2020 18:29 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 400 | $59.02 | $23,609.00 |
DisclosureSEC source: 0001127602-20-026395 · form4.xml · nonDerivative · entry 4 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,761 F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F8 · price: The price reported is the weighted average price of multiple transactions ranging from $58.95 to $59.14. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F9 · balance_after: The reported amount consists of 12,286 restricted stock units and 16,475 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| October 01, 2020 Filed Oct 2, 2020 18:29 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 3,700 | $58.51 | $216,498.84 |
DisclosureSEC source: 0001127602-20-026395 · form4.xml · nonDerivative · entry 3 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,161 F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F6 · price: The price reported is the weighted average price of multiple transactions ranging from $57.95 to $58.87. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F7 · balance_after: The reported amount consists of 12,286 restricted stock units and 16,875 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| October 01, 2020 Filed Oct 2, 2020 18:29 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 5,125 | $57.29 | $293,603.56 |
DisclosureSEC source: 0001127602-20-026395 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,861 F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F4 · price: The price reported is the weighted average price of multiple transactions ranging from $56.90 to $57.86. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F5 · balance_after: The reported amount consists of 12,286 restricted stock units and 20,575 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| October 01, 2020 Filed Oct 2, 2020 18:29 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 9,225 | $17.52 | $161,622.00 |
DisclosureSEC source: 0001127602-20-026395 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,986 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F2 · balance_after: The reported amount consists of 12,286 restricted stock units and 25,700 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| September 01, 2020 Filed Sep 3, 2020 17:46 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 9,225 | $0.00 Strike: $17.52 | $0.00 |
DisclosureSEC source: 0001127602-20-024724 · form4.xml · derivative · entry 8 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,671 Underlying: Common Stock · 9,225 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F8 · derivative.underlying_shares: This nonstatutory stock option to purchase 23,829 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date. Read SEC document |
| September 01, 2020 Filed Sep 3, 2020 17:46 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 1,017 | $52.96 | $53,857.47 |
DisclosureSEC source: 0001127602-20-024724 · form4.xml · nonDerivative · entry 3 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,761 F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F6 · price: The price reported is the weighted average price of multiple transactions ranging from $52.88 to $53.10. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F7 · balance_after: The reported amount consists of 12,286 restricted stock units and 16,475 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| September 01, 2020 Filed Sep 3, 2020 17:46 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 8,208 | $52.53 | $431,191.68 |
DisclosureSEC source: 0001127602-20-024724 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,778 F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F4 · price: The price reported is the weighted average price of multiple transactions ranging from $51.8650 to $52.83. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected. F5 · balance_after: The reported amount consists of 12,286 restricted stock units and 17,492 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| September 01, 2020 Filed Sep 3, 2020 17:46 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 9,225 | $17.52 | $161,622.00 |
DisclosureSEC source: 0001127602-20-024724 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,986 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan. F2 · balance_after: The reported amount consists of 12,286 restricted stock units and 25,700 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| August 05, 2020 Filed Aug 5, 2020 17:23 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GiftCommon Stock | 12,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-022941 · form4.xml · nonDerivative · entry 4 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Indirect · JBG Children's Trust utd 12/31/2000 Disclosed balance after: 21,000 F7 · shares: Represents a bona fide gift of shares of Common Stock. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.