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 |
|---|---|---|---|---|---|---|
| August 03, 2020 Filed Aug 5, 2020 17:23 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 1,933 | $0.00 Strike: $17.52 | $0.00 |
DisclosureSEC source: 0001127602-20-022941 · form4.xml · derivative · entry 9 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,896 Underlying: Common Stock · 1,933 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 |
| August 03, 2020 Filed Aug 5, 2020 17:23 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 7,292 | $0.00 Strike: $17.26 | $0.00 |
DisclosureSEC source: 0001127602-20-022941 · form4.xml · derivative · entry 8 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,292 shares Expires 2024-02-25 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 28,216 shares of 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. Read SEC document |
| August 03, 2020 Filed Aug 5, 2020 17:23 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 9,225 | $48.00 | $442,754.80 |
DisclosureSEC source: 0001127602-20-022941 · 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 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 $47.74 to $48.24. 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 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 |
| August 03, 2020 Filed Aug 5, 2020 17:23 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 1,933 | $17.52 | $33,866.16 |
DisclosureSEC source: 0001127602-20-022941 · 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 |
| August 03, 2020 Filed Aug 5, 2020 17:23 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 7,292 | $17.26 | $125,859.92 |
DisclosureSEC source: 0001127602-20-022941 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,053 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 23,767 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 |
| July 01, 2020 Filed Jul 6, 2020 17:52 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 9,225 | $0.00 Strike: $17.26 | $0.00 |
DisclosureSEC source: 0001127602-20-021219 · form4.xml · derivative · entry 7 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,292 Underlying: Common Stock · 9,225 shares Expires 2024-02-25 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: These shares of Common Stock were sold pursuant to a 10b5-1 plan. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 17:52 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 9,225 | $41.40 | $381,944.52 |
DisclosureSEC source: 0001127602-20-021219 · 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 F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F3 · price: The price reported is the weighted average price of multiple transactions ranging from $41.1750 to $41.74. 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. F4 · 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 |
| July 01, 2020 Filed Jul 6, 2020 17:52 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 9,225 | $17.26 | $159,223.50 |
DisclosureSEC source: 0001127602-20-021219 · 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: These shares of Common Stock were sold 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 |
| June 01, 2020 Filed Jun 3, 2020 18:45 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 9,226 | $0.00 Strike: $17.26 | $0.00 |
DisclosureSEC source: 0001127602-20-018759 · form4.xml · derivative · entry 8 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,517 Underlying: Common Stock · 9,226 shares Expires 2024-02-25 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: These shares of Common Stock were sold pursuant to a 10b5-1 plan. Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 18:45 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 4,522 | $34.28 | $155,007.38 |
DisclosureSEC source: 0001127602-20-018759 · 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 F1 · 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 $34.15 to $34.43. 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 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 |
| June 01, 2020 Filed Jun 3, 2020 18:45 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 4,704 | $33.85 | $159,237.93 |
DisclosureSEC source: 0001127602-20-018759 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,283 F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F3 · price: The price reported is the weighted average price of multiple transactions ranging from $33.15 to $34.13. 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. F4 · balance_after: The reported amount consists of 12,286 restricted stock units and 20,997 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 |
| June 01, 2020 Filed Jun 3, 2020 18:45 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 9,226 | $17.26 | $159,240.76 |
DisclosureSEC source: 0001127602-20-018759 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,987 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: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F2 · balance_after: The reported amount consists of 12,286 restricted stock units and 25,701 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 |
| May 05, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 4,453 | $0.00 Strike: $21.03 | $0.00 |
DisclosureSEC source: 0001127602-20-015461 · 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 · 4,453 shares Expires 2023-06-12 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. F11 · derivative.underlying_shares: This nonstatutory stock option to purchase 15,882 shares of 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. Read SEC document |
| May 05, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 156 | $0.00 Strike: $17.26 | $0.00 |
DisclosureSEC source: 0001127602-20-015461 · form4.xml · derivative · entry 13 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,743 Underlying: Common Stock · 156 shares Expires 2024-02-25 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 28,216 shares of 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. Read SEC document |
| May 05, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 4,609 | $29.35 | $135,295.35 |
DisclosureSEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 6 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. F9 · price: The price reported is the weighted average price of multiple transactions ranging from $29.01 to $29.71. 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 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 |
| May 05, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 4,453 | $21.03 | $93,646.59 |
DisclosureSEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 5 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,370 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 · balance_after: The reported amount consists of 12,286 restricted stock units and 21,084 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 |
| May 05, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 156 | $17.26 | $2,692.56 |
DisclosureSEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 4 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,917 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. F7 · balance_after: The reported amount consists of 12,286 restricted stock units and 16,631 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 |
| May 01, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 2,300 | $0.00 Strike: $21.03 | $0.00 |
DisclosureSEC source: 0001127602-20-015461 · form4.xml · derivative · entry 12 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,453 Underlying: Common Stock · 2,300 shares Expires 2023-06-12 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. F11 · derivative.underlying_shares: This nonstatutory stock option to purchase 15,882 shares of 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. Read SEC document |
| May 01, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 2,317 | $0.00 Strike: $17.26 | $0.00 |
DisclosureSEC source: 0001127602-20-015461 · form4.xml · derivative · entry 11 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,899 Underlying: Common Stock · 2,317 shares Expires 2024-02-25 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 28,216 shares of 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. Read SEC document |
| May 01, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 4,617 | $29.24 | $135,020.01 |
DisclosureSEC source: 0001127602-20-015461 · 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 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 $29.00 to $29.56. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of 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 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 |
| May 01, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 2,300 | $21.03 | $48,369.00 |
DisclosureSEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,378 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 21,092 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 |
| May 01, 2020 Filed May 5, 2020 16:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 2,317 | $17.26 | $39,991.42 |
DisclosureSEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,078 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 18,792 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 |
| April 28, 2020 Filed Apr 30, 2020 19:55 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 9,129 | $0.00 Strike: $21.03 | $0.00 |
DisclosureSEC source: 0001127602-20-014928 · form4.xml · derivative · entry 9 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,753 Underlying: Common Stock · 9,129 shares Expires 2023-06-12 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 15,882 shares of 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. Read SEC document |
| April 28, 2020 Filed Apr 30, 2020 19:55 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative | 27,771 | $0.00 Strike: $11.28 | $0.00 |
DisclosureSEC source: 0001127602-20-014928 · form4.xml · derivative · entry 8 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,771 shares Expires 2026-03-06 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. F5 · derivative.underlying_shares: This nonstatutory stock option to purchase 27,771 shares of 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. Read SEC document |
| April 28, 2020 Filed Apr 30, 2020 19:55 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 36,900 | $29.06 | $1,072,487.43 |
DisclosureSEC source: 0001127602-20-014928 · 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 F2 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan. F3 · price: The price reported is the weighted average price of multiple transactions ranging from $29.00 to $29.64. 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. F4 · 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 |
| April 28, 2020 Filed Apr 30, 2020 19:55 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 9,129 | $21.03 | $191,982.87 |
DisclosureSEC source: 0001127602-20-014928 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,661 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. Read SEC document |
| April 28, 2020 Filed Apr 30, 2020 19:55 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 27,771 | $11.28 | $313,256.88 |
DisclosureSEC source: 0001127602-20-014928 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,532 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. Read SEC document |
| March 17, 2020 Filed Mar 18, 2020 20:44 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionPerformance-Based Restricted Stock Units · Derivative | 18,110 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011351 · 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 · 18,110 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 6, 2017 and vested on March 17, 2020, 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 18.6% for the period of January 1, 2017 through December 31, 2019 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 94.3%. F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 6, 2017 and vested on March 17, 2020, 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 18.6% for the period of January 1, 2017 through December 31, 2019 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 94.3%. F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 6, 2017 and vested on March 17, 2020, 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 18.6% for the period of January 1, 2017 through December 31, 2019 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 94.3%. F3 · derivative.underlying_shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 6, 2017 and vested on March 17, 2020, 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 18.6% for the period of January 1, 2017 through December 31, 2019 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 94.3%. Read SEC document |
| March 17, 2020 Filed Mar 18, 2020 20:44 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GrantPerformance-Based Restricted Stock Units · Derivative | 18,110 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011351 · form4.xml · derivative · entry 8 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,110 Underlying: Common Stock · 18,110 shares Expires not disclosed F3 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 6, 2017 and vested on March 17, 2020, 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 18.6% for the period of January 1, 2017 through December 31, 2019 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 94.3%. F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 6, 2017 and vested on March 17, 2020, 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 18.6% for the period of January 1, 2017 through December 31, 2019 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 94.3%. F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 6, 2017 and vested on March 17, 2020, 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 18.6% for the period of January 1, 2017 through December 31, 2019 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 94.3%. Read SEC document |
| March 17, 2020 Filed Mar 18, 2020 20:44 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Tax withholdingCommon Stock | 6,263 | $21.76 | $136,282.88 |
DisclosureSEC source: 0001127602-20-011351 · 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 F5 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units. F6 · 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 |
| March 17, 2020 Filed Mar 18, 2020 20:44 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Exercise / conversionCommon Stock | 18,110 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011351 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,024 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 6, 2017 and vested on March 17, 2020, 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 18.6% for the period of January 1, 2017 through December 31, 2019 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 94.3%. F4 · balance_after: The reported amount consists of 12,286 restricted stock units and 22,738 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 17, 2020 Filed Mar 19, 2020 23:18 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | Exercise / conversionPerformance-Based Restricted Share Units · Derivative | 3,120 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011550 · form4.xml · derivative · entry 8 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares of Beneficial Interest · 3,120 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 share unit (PSU) award was granted to the Reporting Person on March 12, 2018 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2018, 2019 and 2020. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F3 · derivative.exercise_date: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on March 12, 2018 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2018, 2019 and 2020. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F3 · derivative.expiration_date: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on March 12, 2018 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2018, 2019 and 2020. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F3 · derivative.underlying_shares: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on March 12, 2018 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2018, 2019 and 2020. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 23:18 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | GrantPerformance-Based Restricted Share Units · Derivative | 3,120 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011550 · form4.xml · derivative · entry 7 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,120 Underlying: Common Shares of Beneficial Interest · 3,120 shares Expires not disclosed F3 · derivative.exercise_price: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on March 12, 2018 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2018, 2019 and 2020. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F3 · derivative.exercise_date: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on March 12, 2018 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2018, 2019 and 2020. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F3 · derivative.expiration_date: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on March 12, 2018 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2018, 2019 and 2020. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 23:18 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | Exercise / conversionPerformance-Based Restricted Share Units · Derivative | 3,228 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011550 · form4.xml · derivative · entry 6 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares of Beneficial Interest · 3,228 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. F1 · derivative.exercise_price: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on February 23, 2017 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2017, 2018 and 2019. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F1 · derivative.exercise_date: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on February 23, 2017 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2017, 2018 and 2019. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F1 · derivative.expiration_date: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on February 23, 2017 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2017, 2018 and 2019. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F1 · derivative.underlying_shares: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on February 23, 2017 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2017, 2018 and 2019. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 23:18 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | GrantPerformance-Based Restricted Share Units · Derivative | 3,228 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011550 · form4.xml · derivative · entry 5 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,228 Underlying: Common Shares of Beneficial Interest · 3,228 shares Expires not disclosed F1 · derivative.exercise_price: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on February 23, 2017 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2017, 2018 and 2019. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F1 · derivative.exercise_date: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on February 23, 2017 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2017, 2018 and 2019. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F1 · derivative.expiration_date: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on February 23, 2017 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2017, 2018 and 2019. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 23:18 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | Tax withholdingCommon Shares of Beneficial Interest | 1,547 | $10.88 | $16,831.36 |
DisclosureSEC source: 0001127602-20-011550 · form4.xml · nonDerivative · entry 4 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,149 F7 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted share units granted on March 12, 2018. F8 · balance_after: The reported amount consists of 1,702 restricted share units and 36,447 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 23:18 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | Tax withholdingCommon Shares of Beneficial Interest | 1,312 | $10.88 | $14,274.56 |
DisclosureSEC source: 0001127602-20-011550 · form4.xml · nonDerivative · entry 3 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,696 F5 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted share units granted on February 23, 2017. F6 · balance_after: The reported amount consists of 1,702 restricted share units and 37,994 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 23:18 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | Exercise / conversionCommon Shares of Beneficial Interest | 3,120 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011550 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,008 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 share unit (PSU) award was granted to the Reporting Person on March 12, 2018 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2018, 2019 and 2020. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F4 · balance_after: The reported amount consists of 1,702 restricted share units and 39,306 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 23:18 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | Exercise / conversionCommon Shares of Beneficial Interest | 3,228 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-011550 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,888 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: This performance-based restricted share unit (PSU) award was granted to the Reporting Person on February 23, 2017 and may vest in three equal installments subject to the satisfaction of certain performance based criteria for each of the fiscal years ending 2017, 2018 and 2019. The PSU vested as to one-third on March 17, 2020 and the payout of common shares of beneficial interest pursuant to the PSU award for the 2019 fiscal year was determined based on the Issuer's return on equity (ROE) of 12.02% for the period of January 1, 2019 through December 31, 2019 as measured against ROE targets established at the time of grant. The payout percentage for the award based on ROE achievement was 150%. F2 · balance_after: The reported amount consists of 1,702 restricted share units and 36,186 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 20:44 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Tax withholdingCommon Stock | 833 | $29.13 | $24,265.29 |
DisclosureSEC source: 0001127602-20-011351 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,914 F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units. F2 · balance_after: The reported amount consists of 12,286 restricted stock units and 4,628 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, 2020 Filed Mar 13, 2020 20:44 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | Tax withholdingCommon Shares of Beneficial Interest | 589 | $18.90 | $11,132.10 |
DisclosureSEC source: 0001127602-20-010621 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,660 F1 · shares: Represents shares withheld for taxes upon vesting of restricted share units. F2 · balance_after: The reported amount consists of 1,702 restricted share units and 32,958 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. Read SEC document |
| March 09, 2020 Filed Mar 10, 2020 19:04 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Tax withholdingCommon Stock | 794 | $37.50 | $29,775.00 |
DisclosureSEC source: 0001127602-20-010141 · form4.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,747 F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units. F3 · balance_after: The reported amount consists of 14,333 restricted stock units and 3,414 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 06, 2020 Filed Mar 10, 2020 19:04 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | Tax withholdingCommon Stock | 1,087 | $37.42 | $40,675.54 |
DisclosureSEC source: 0001127602-20-010141 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,541 F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units. F2 · balance_after: The reported amount consists of 16,627 restricted stock units and 1,914 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, 2020 Filed Feb 27, 2020 20:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GrantNonstatutory Stock Option (Right to Buy) · Derivative | 17,824 | $0.00 Strike: $35.03 | $0.00 |
DisclosureSEC source: 0001127602-20-008220 · form4.xml · derivative · entry 6 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,824 Underlying: Common Stock · 17,824 shares Expires 2030-02-25 F3 · derivative.underlying_shares: 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. Read SEC document |
| February 26, 2020 Filed Feb 27, 2020 20:54 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GrantCommon Stock | 4,817 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008220 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,628 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 19,628 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. Read SEC document |
| February 24, 2020 Filed Feb 26, 2020 22:45 UTC | PennyMac Mortgage Investment Trust PMT · Entity 899 | Tax withholdingCommon Shares of Beneficial Interest | 720 | $23.34 | $16,804.80 |
DisclosureSEC source: 0001127602-20-008003 · form4.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,249 F1 · shares: Represents shares withheld for taxes upon vesting of restricted share units. F2 · balance_after: The reported amount consists of 3,403 restricted share units and 31,846 common shares of beneficial interest. The restricted share units are to be settled in an equal number of common shares of beneficial interest upon vesting. Read SEC document |
| December 20, 2019 Filed Feb 12, 2020 17:42 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GiftCommon Stock | 2,950 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-005113 · form5.xml · nonDerivative · entry 2 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Indirect · The Grogin Living Trust dtd 12-19-01 Disclosed balance after: 453,655 F1 · shares: Represents a bona fide gift of shares of Common Stock to a charitable organization. Read SEC document |
| December 20, 2019 Filed Feb 12, 2020 17:42 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | GiftCommon Stock | 2,950 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-005113 · form5.xml · nonDerivative · entry 1 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Indirect · The Grogin Living Trust dtd 12-19-01 Disclosed balance after: 453,655 F1 · shares: Represents a bona fide gift of shares of Common Stock to a charitable organization. Read SEC document |
| November 19, 2019 Filed Nov 19, 2019 18:18 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 5,600 | $32.73 | $183,305.36 |
DisclosureSEC source: 0001127602-19-033282 · form4.xml · nonDerivative · entry 5 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Indirect · The Grogin Living Trust dtd 12-19-01 Disclosed balance after: 468,580 F8 · price: The price reported is the weighted average price of multiple transactions ranging from $32.37 to $33.10. 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. Read SEC document |
| November 19, 2019 Filed Nov 19, 2019 18:18 UTC | PennyMac Financial Services, Inc. PFSI · Entity 4100 | SaleCommon Stock | 2,355 | $33.36 | $78,554.09 |
DisclosureSEC source: 0001127602-19-033282 · form4.xml · nonDerivative · entry 4 Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,811 F6 · price: The price reported is the weighted average price of multiple transactions ranging from $33.28 to $33.41. 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 14,811 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting. 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.