PennyMac Financial Services Inc
For the period ended Jun 30, 2024. Filed Jul 31, 2024.
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Jun 30, 2024 · Filed Jul 31, 2024
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Item 5. Other Information
(c) Trading Plans
As of June 30, 2024, 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 May 15, 2024, James Follette, Senior Managing Director, Chief Digital Officer, terminated a plan dated as of May 26, 2022, andadopted a new 10b5-1 trading plan. Mr. Follette’s new trading plan provides that the sale of up to 13,122 shares of the Company’s common stock. The trading plan will expire on December 31, 2025. Mr. Follette’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.
On June 27, 2024, Dan Perotti, Chief Financial Officer of the Company, entered into a 10b5-1 trading plan. Mr. Perotti’s trading plan provides for the sale of up to 42,000 shares of the Company’s common stock. The trading plan will expire on August 14, 2025. Mr. Perotti’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 June 30, 2024, none of our directors or executive officers, other than Mr. Follette and Mr. Perotti, informed us of the adoption, modification, or termination 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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