PennyMac Financial Services Inc
For the period ended Dec 31, 2023. Filed Feb 21, 2024.
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FY2023 · Filed Feb 21, 2024
PFSI$66.44+1.3%Stored close · as of Nov 9, 2026
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Item 9B. Other Information
(c) Trading Plans
As of December 31, 2023, the following directors or Section 16 officers adopted, modified orterminated the following Rule 10b5-1 trading arrangements ornon-Rule 10b5-1 trading arrangements (in each case, as defined in Item 408(a) of Regulation S- K):
| ● | On December 8, 2023, David A. Spector, Chairman and Chief Executive Officer, adopted a trading plan intended to satisfy the affirmative defense of Rule 10b5-1(c) to sell 100,000 shares of PennyMac Financial Services, Inc. common stock and to sell additional shares of PennyMac Financial Services, Inc. common stock upon the vesting of 24,042 time-based restricted stock unit awards and 30,798 performance-based restricted stock unit awards assuming vesting at target that are subject to a maximum performance multiplier of 187.5%, over a period ending on December 31, 2024. |
| ● | On December 21, 2023, Derek W. Stark, Senior Managing Director, Chief Legal Officer and Secretary, adopted a trading plan intended to satisfy the affirmative defense of Rule 10b5-1(c) to sell PennyMac Financial Services, Inc. common stock upon the vesting of 3,879 time-based restricted stock unit awards and 3,823 performance-based restricted stock unit awards assuming vesting at target that are subject to a maximum performance multiplier of 187.5%, over a period ending on December 31, 2024. |
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