PennyMac Financial Services Inc (PFSI)

Sector:
FINANCE
Industry:
BANKS
SIC:
MORTGAGE BANKERS & LOAN CORRESPONDENTS
CEO:
David A. Spector
Employees:
4,140
3043 TOWNSGATE ROAD, WESTLAKE VILLAGE, CA, 91361
(818) 224-7442

PennyMac Financial Services, Inc. operates through three segments: Production, Servicing, and Investment Management. The Production segment is involved in the origination, acquisition, and sale of loans. The Servicing segment engages in the servicing of newly originated loans.

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Funds Holding PFSI (via 13F filings)

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Recent Filings

Financial Reporting

Ownership

  • 4: filed on 2023-05-24 by JONES DOUG
  • 4: filed on 2023-05-18 by SPECTOR DAVID
  • 4: filed on 2023-05-03 by NANJI FARHAD
  • 4: filed on 2023-05-03 by MAZZELLA JOSEPH F
  • 4: filed on 2023-04-05 by SPECTOR DAVID
  • 4: filed on 2023-04-03 by HENDRY GREGORY L
  • 3: filed on 2023-03-22 by CHANG WILLIAM HERBERT
  • 4: filed on 2023-03-22 by PEROTTI DANIEL STANLEY
  • 4: filed on 2023-03-09 by SPECTOR DAVID
  • 4: filed on 2023-03-01 by Fartaj Vandad

    • Events (8k)

  • 8-K: filed on 2018-11-01:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.01: Completion of Acquisition or Disposition of Assets
    Item 3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
    Item 3.03: Material Modifications to Rights of Security Holders
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 5.03: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
    Item 9.01: Financial Statements and Exhibits
    Item 5.01: Changes in Control of Registrant
  • 8-K: filed on 2018-10-31:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2018-10-25:
    Item 5.07: Submission of Matters to a Vote of Security Holders
  • 8-K: filed on 2018-10-03:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
  • 8-K: filed on 2018-05-18:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2018-05-04:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2018-03-06:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 5.03: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2018-02-09:
    Item 2.02: Results of Operations and Financial Condition
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2018-02-07:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2017-11-22:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 9.01: Financial Statements and Exhibits

    • Proposed Sales (Form 144)

  • 144: filed on 2023-09-20:

    • Proxy

    Prospectus

    All

    Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    none

    Open Market Sells (S)

    37.6 Thousand total shares from 3 transactions

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    SPECTOR DAVID CHAIRMAN & CEO

    • Officer
    • Director
    		 995,787 2023-09-20 12

    PEROTTI DANIEL STANLEY CHIEF FINANCIAL OFFICER

    • Officer
    		 311,040 2023-08-15 5

    MCCALLION ANNE

    • Director
    		 153,102 2023-06-07 3

    STARK DEREK CHIEF LEGAL OFFICER

    • Officer
    		 28,211 2023-06-01 7

    JONES DOUG DIRECTOR, PRESIDENT & CMBO

    • Officer
    • Director
    		 557,461 2023-06-01 6

    MAZZELLA JOSEPH F

    • Director
    		 315,739 2023-05-01 6

    NANJI FARHAD

    • Director
    		 4,710,746 2023-05-01 4

    HENDRY GREGORY L MD, CHIEF ACCOUNTING OFFICER

    • Officer
    		 47,182 2023-03-30 4

    CHANG WILLIAM HERBERT CHIEF CAPITAL MARKETS OFFICER

    • Officer
    		 41,059 2023-03-22 1

    WHITE DONALD J. CHIEF RISK OFFICER

    • Officer
    		 9,469 2023-03-02 5

    FARTAJ VANDAD CHIEF INVESTMENT OFFICER

    • Officer
    		 953,394 2023-02-27 5

    BAILEY STEVEN RICHARD CHIEF SERVICING OFFICER

    • Officer
    		 8,900 2023-02-27 4

    FOLLETTE JAMES CHIEF MORT FULFILLMENT OFF.

    • Officer
    		 12,475 2023-02-27 4

    JACOBSON JONATHON S

    • Director
    		 226,829 2023-02-24 1

    HUNT JAMES K

    • Director
    		 66,789 2023-02-24 2

    YOUSSOUF EMILY ANN

    • Director
    		 33,253 2023-02-24 1

    KINSELLA PATRICK

    • Director
    		 36,596 2023-02-24 2

    TOZER THEODORE W

    • Director
    		 21,634 2023-02-24 1

    PERLOWITZ JEFFREY A.

    • Director
    		 14,606 2023-02-24 1

    SHALETT LISA M

    • Director
    		 7,741 2023-02-24 1

    MFN PARTNERS, LP

    MFN PARTNERS GP, LLC

    MFN PARTNERS MANAGEMENT, LP

    MFN PARTNERS MANAGEMENT, LLC

    DEMICHELE MICHAEL

    • Director
    		 4,531,792 2022-02-11 0

    KURLAND FAMILY INVESTMENTS, LLC

    • 10% Owner
    		 13,383,256 2021-06-01 0

    WALKER DAVID M CHIEF RISK OFFICER

    • Officer
    		 141,306 2021-03-24 0

    GROGIN JEFFREY CHIEF ENTERPRISE OPS OFFICER

    • Officer
    		 525,758 2021-03-17 0

    CHANG ANDREW S CHIEF OPERATING OFFICER

    • Officer
    		 1,265,897 2021-03-15 0

    KURLAND STANFORD L

    • Director
    • 10% Owner
    		 16,265,984 2021-01-20 0

    BOTEIN MATTHEW

    • Director
    		 311,802 2020-07-20 0

    BLACKROCK INC.

    BLACKROCK FINANCIAL MANAGEMENT INC/DE

    BLACKROCK HOLDCO 2, INC.

    BLACKROCK MORTGAGE VENTURES, LLC

    • 10% Owner
    		 0 2020-02-11 0

    HC PARTNERS LLC

    • 10% Owner
    		 15,741,237 2019-12-27 0

    WIEDMAN MARK

    • Director
    		 75,563 2019-02-20 0

    COOPERMAN LEON G

    • 10% Owner
    		 2,196,185 2016-11-16 0

    TAYLOR JOHN

    • Director
    		 9,954 2014-06-04 0

    FIDELITY INVESTMENTS CHARITABLE GIFT FUND

    • 10% Owner
    		 No longer subject to file 2014-04-01 0

    BRIDGER MANAGEMENT, LLC

    MIGNONE ROBERTO

    • SEE REMARKSSEE REMARKS
    		 No longer subject to file 2013-08-14 0

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed    		 Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

    SPECTOR DAVID - Director - Officer CHAIRMAN & CEO st family investment company llc

    		2023-09-21 19:31:14 -0400 2023-09-20 S 15,000 $69.23 d 345,604 indirect yes -0.0747 0.0 1 -0.0747 2

    PEROTTI DANIEL STANLEY - Officer CHIEF FINANCIAL OFFICER the perotti family trust

    		2023-08-17 17:22:42 -0400 2023-08-15 S 7,600 $72.37 d 280,697 indirect yes -0.9377 -0.5049 0.1443 4 -3.0006 3

    SPECTOR DAVID - Director - Officer CHAIRMAN & CEO st family investment company llc

    		2023-08-08 18:04:54 -0400 2023-08-07 S 15,000 $76.28 d 360,604 indirect yes -1.1284 -5.1378 -10.6216 0.0 1 -10.6216 31

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-26 13:45:03 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-26 13:15:03 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-26 12:45:05 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 22:15:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 21:45:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 21:15:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 20:45:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 20:15:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 19:45:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 19:15:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 18:45:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 18:15:03 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 17:45:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 17:15:03 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 16:45:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 16:15:03 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 15:45:03 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 15:15:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 14:45:04 UTC 4.9583 0.3617 2500000
    PENNYMAC FINANCIAL SERVICES PFSI 2023-09-25 14:15:04 UTC 4.9583 0.3617 2500000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin
    Trust for Professional Managers- Convergence Long/Short Equity Fund PFSI -888.0 shares, $-56237.04 2021-11-30 N-PORT
    Blackstone Alternative Investment Funds- Blackstone Alternative Multi-Strategy Fund PFSI -5400.0 shares, $-379674.0 2023-06-30 N-PORT
    VANGUARD MONTGOMERY FUNDS- VANGUARD MARKET NEUTRAL FUND PFSI -14783.0 shares, $-1039392.73 2023-06-30 N-PORT

    No recent transactions

    *** To see all congressional transactions (since 2022) for this stock, please use the congressional transaction search page***

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