# EDGAR Filing Document

**Accession Number:** 0001745916
**File Stem:** 0001745916-25-000025
**Filing Date:** 2025-11
**Character Count:** 11224
**Document Hash:** a8ac70b3736d1518c5d977736e9fe24b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001745916-25-000025.hdr.sgml**: 20251107

**ACCESSION NUMBER**: 0001745916-25-000025

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251105

**FILED AS OF DATE**: 20251107

**DATE AS OF CHANGE**: 20251107

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Jones Doug
- **CENTRAL INDEX KEY:** 0001544302

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38727
- **FILM NUMBER:** 251463904

**MAIL ADDRESS:**
- **STREET 1:** C/O PENNYMAC
- **STREET 2:** 3043 TOWNSGATE ROAD
- **CITY:** WESTLAKE VILLAGE
- **STATE:** CA
- **ZIP:** 91361
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PennyMac Financial Services, Inc.
- **CENTRAL INDEX KEY:** 0001745916
- **STANDARD INDUSTRIAL CLASSIFICATION:** MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 831098934
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 3043 TOWNSGATE ROAD
- **CITY:** WESTLAKE VILLAGE
- **STATE:** CA
- **ZIP:** 91361
- **BUSINESS PHONE:** (818) 224-7442

**MAIL ADDRESS:**
- **STREET 1:** 3043 TOWNSGATE ROAD
- **CITY:** WESTLAKE VILLAGE
- **STATE:** CA
- **ZIP:** 91361

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** New PennyMac Financial Services, Inc.
- **DATE OF NAME CHANGE:** 20180709

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Jones Doug<br><sub>(Last) (First) (Middle)</sub><br>C/O PENNYMAC FINANCIAL SERVICES, INC.<br>3043 TOWNSGATE ROAD<br><sub>(Street)</sub><br>WESTLAKE VILLAGE, CA 91361<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-11-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Director, President & CMBO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>PennyMac Financial Services, Inc. [ PFSI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2025-11-05 |  | M |  | 4318 | A | $11.28 | 23374<sup>(1)</sup> | D |  |
| Common Stock | 2025-11-05 |  | S |  | 4318 | D | 126.09<sup>(2)</sup> | 19056<sup>(3)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 15337 | I | The Jones Family Trust |
| Common Stock |  |  |  |  |  |  |  | 450000 | I | GR Family Investments LLC |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Nonstatutory Stock Option (Right to Buy) | $11.28 | 2025-11-05 |  | M |  |  | 4318 | 2017-03-07 | 2026-03-06 | Common Stock | 4318<sup>(4)</sup> | $0 | 23453 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $18.05 |  |  |  |  |  |  | 2018-03-06 | 2027-03-05 | Common Stock | 34626<sup>(5)</sup> |  | 34626 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $24.40 |  |  |  |  |  |  | 2019-03-09 | 2028-03-08 | Common Stock | 26467<sup>(6)</sup> |  | 26467 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $22.92 |  |  |  |  |  |  | 2020-03-15 | 2029-03-14 | Common Stock | 27744<sup>(7)</sup> |  | 27744 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $59.68 |  |  |  |  |  |  | 2020-12-14 | 2030-12-13 | Common Stock | 54024<sup>(8)</sup> |  | 54024 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $35.03 |  |  |  |  |  |  | 2021-02-26 | 2030-02-25 | Common Stock | 30366<sup>(9)</sup> |  | 30366 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $58.85 |  |  |  |  |  |  | 2022-02-25 | 2031-02-24 | Common Stock | 29566<sup>(10)</sup> |  | 29566 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $57.10 |  |  |  |  |  |  | 2023-02-23 | 2032-02-22 | Common Stock | 54063<sup>(11)</sup> |  | 54063 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $60.74 |  |  |  |  |  |  | 2024-02-24 | 2033-02-23 | Common Stock | 25724<sup>(12)</sup> |  | 25724 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $84.93 |  |  |  |  |  |  | 2025-03-01<sup>(13)</sup> | 2034-02-28 | Common Stock | 27044<sup>(13)</sup> |  | 27044 | D |  |
| Nonstatutory Stock Option (Right to Buy) | $101.76 |  |  |  |  |  |  | 2026-02-14<sup>(14)</sup> | 2035-02-13 | Common Stock | 21456<sup>(14)</sup> |  | 21456 | D |  |

---

### Footnotes:

(1) The reported amount consists of 19,056 restricted stock units and 4,318 shares of Common Stock.  The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

(2) The price reported is the weighted average price of multiple transactions ranging from $126.00 to $126.45.  The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

(3) The reported amount consists of 19,056 restricted stock units which are to be settled in an equal number of shares of Common Stock upon vesting.

(4) This nonstatutory stock option to purchase 27,771 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 7, 2017, 2018 and 2019, subject to the Reporting Person's committed service through each date.

(5) This nonstatutory stock option to purchase 34,626 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's continued service through each date.

(6) This nonstatutory stock option to purchase 26,467 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date.

(7) This nonstatutory stock option to purchase 27,744 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 15, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date.

(8) This nonstatutory stock option to purchase 54,024 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in one-third increments on each of December 14, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date.

(9) This nonstatutory stock option to purchase 30,366 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each date.

(10) This nonstatutory stock option to purchase 29,566 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date.

(11) This nonstatutory stock option to purchase 54,063 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 23, 2023, 2024 and 2025, subject to the Reporting Person's continued service through each date.

(12) This nonstatutory stock option to purchase 25,724 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 24, 2024, 2025 and 2026, subject to the Reporting Person's continued servicethrough each date.

(13) This nonstatutory stock option to purchase 27,044 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's committed service through each date.

(14) This nonstatutory stock option to purchase 21,456 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 14, 2026, 2027 and 2028, subject to the Reporting Person's continued service through each date.

**Signature:** /s/ Derek W. Stark, attorney-in-fact for Mr. Jones  
**Date:** 2025-11-07

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**