PennyMac Financial Services, Inc.
For the period ended Sep 30, 2025. Filed Oct 28, 2025.
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Sep 30, 2025 · Filed Oct 28, 2025
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Item 5. Other Information
(c) Trading Plans
As of September 30, 2025, the following directors or Section 16 officers adopted, modified or terminated the following Rule 10b5-1 trading arrangements or non-Rule 10b5-1 trading arrangements (in each case, as defined in Item 408(a) of Regulation S-K):
On August 8, 2025, David A. Spector, Chairman and Chief Executive Officer, adopted a trading plan to sell: (1)60,000 shares of the Company’s common stock, (2) Company common stock shares received upon the vesting of 18,268 time-based restricted stock units, and (3) Company common stock shares received upon the vesting of 92,607 performance-based restricted stock units assuming a maximum level performance achievement.
The trading plan will expire on June 10, 2026. Mr. Spector’s trading plan was entered into during an open insider trading window and is intended to satisfy Rule 10b5-1(c) under the Exchange Act and the Company’s policies regarding insider transactions.
During the quarter ended September 30, 2025, none of our directors or executive officers (as defined in Rule 16a-1(f)), other than Mr. Spector, informed us of theadoption, modification, ortermina tion of a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement” (in each case, as defined in Item 408(a) of Regulation S-K).
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