PennyMac Financial Services, Inc.
For the period ended Mar 31, 2026. Filed May 5, 2026.
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Mar 31, 2026 · Filed May 5, 2026
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Item 5. Other Information
(c) Trading Plans
As of March 31, 2026, 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 March 19, 2026, Greg Hendry, the Company’s Chief Accounting Officer, adopted a trading plan to sell up to: (1)11,650 shares of the Company’s common stock, (2)5,120 shares of the Company’s common stock underlying unexercised stock options, (3) Company common stock shares received upon the vesting of 448 time-based restricted stock units, and (4) Company common stock shares received upon the vesting of 1,764 performance-based restricted stock units assuming maximum level performance achievement. The trading plan will expire on June 30, 2027. Mr. Hendry’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 March 31, 2026, none of our other directors or executive officers (as defined in Rule 16a-1(f)), informed us of theadoption, modification, ortermination of any “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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