PennyMac Financial Services, Inc.
For the period ended Sep 30, 2026. Filed Nov 3, 2026.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Nov 3, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
| | | Incorporated by Referencefrom the Below-Listed Form(Each Filed under SEC FileNumber 001-35916 or001-38727) | |
| Exhibit No. | Exhibit Description | Form | Filing Date |
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| 2.1 | Contribution Agreement and Plan of Merger, dated as of August 2, 2018, by and among PennyMac Financial Services, Inc., New PennyMac Financial Services, Inc., New PennyMac Merger Sub, LLC, Private National Mortgage Acceptance Company, LLC, and the Contributors. | 8-K12B | November 1, 2018 |
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| 3.1 | Amended and Restated Certificate of Incorporation of New PennyMac Financial Services, Inc. | 8-K12B | November 1, 2018 |
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| 3.1.1 | Certificate of Amendment to Amended and Restated Certificate of Incorporation of New PennyMac Financial Services, Inc. | 8-K12B | November 1, 2018 |
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| 3.2 | Amended and Restated Bylaws of PennyMac Financial Services, Inc. | 8-K | March 18, 2026 |
| 10.1 | Amendment No. 2 to Fifth Amended and Restated Flow Servicing Agreement, between PennyMac Operating Partnership, L.P. and PennyMac Loan Services, LLC, dated as of September 9, 2026. | * | |
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| 10.2 | Amendment No. 2 to Amended and Restated Flow Servicing Agreement, between PennyMac Corp. and PennyMac Loan Services, LLC, dated as of September 9, 2026. | * | |
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| 10.3 | Amendment No. 1 to Fourth Amended and Restated Mortgage Banking Services Agreement, between PennyMac Loan Services, LLC and PennyMac Corp., dated as of September 9, 2026. | * | |
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| 10.4 | Amendment No. 1 to Amended and Restated Mortgage Loan Purchase Agreement, between PennyMac Loan Services, LLC and PennyMac Corp., dated as of September 9, 2026. | * | |
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| 31.1 | Certification of David A. Spector pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | * | |
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| 31.2 | Certification of Daniel S. Perotti pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | * | |
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| 32.1 | Certification of David A. Spector pursuant to Rule 13a-14(b) and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | ** | |
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| 32.2 | Certification of Daniel S. Perotti pursuant to Rule 13a-14(b) and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | ** | |
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| | | Incorporated by Referencefrom the Below-Listed Form(Each Filed under SEC FileNumber 001-35916 or001-38727) | |
| Exhibit No. | Exhibit Description | Form | Filing Date |
| | | | |
| 101 | The following financial statements from the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2026, formatted in Inline XBRL: (i) the Consolidated Balance Sheets, (ii) the Consolidated Statements of Income, (iii) the Consolidated Statements of Changes in Stockholders’ Equity, (iv) the Consolidated Statements of Cash Flows, and (v) the Notes to the Consolidated Financial Statements. | * | |
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| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document and contained in Exhibit 101). | | |
*Filed herewith
**The certifications attached hereto as Exhibits 32.1 and 32.2 are furnished to the SEC pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and shall not be deemed filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, except as shall be expressly set forth by specific reference in such filing.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.
| | PENNYMAC FINANCIAL SERVICES, INC. | |
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| Dated: November 3, 2026 | By: | /s/ DAVID A. SPECTOR |
| | | David A. Spector |
| | | Chairman and Chief Executive Officer(Principal Executive Officer) |
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| Dated: November 3, 2026 | By: | /s/ DANIEL S. PEROTTI |
| | | Daniel S. Perotti |
| | | Senior Managing Director and Chief Financial Officer(Principal Financial Officer) |
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