What SEC filings does PennyMac Financial Services, Inc. submit to the SEC?

PennyMac Financial Services, Inc. (PFSI) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about PFSI?

A Form 4 for PFSI discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from PennyMac Financial Services, Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for PFSI?

The 10-K is PennyMac Financial Services, Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all PFSI SEC filings directly on EDGAR?

You can view all historical PennyMac Financial Services, Inc. filings on the SEC EDGAR company page for PFSI. Each filing card on this page links directly to the original SEC document.

How often does PennyMac Financial Services, Inc. file with the SEC?

PennyMac Financial Services, Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling PFSI shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

PFSI SEC Filing News — PennyMac Financial Services, Inc.

Latest SEC filings for PennyMac Financial Services, Inc. (PFSI) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-14.

PennyMac Financial Services, Inc., through its subsidiaries, engages in the mortgage banking and investment management activities in the United States. The company operates through two segments, Production and Servicing. The Production segment is involved in the origination, acquisition, and sale of loans. This segment also sources residential conventional and government-insured or guaranteed mortgage loans through correspondent production, consumer direct lending, and broker direct lending. The…

Sector: Financial Services Industry: Mortgage Finance Market Cap: $3.1B

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for PFSI currently lean bearish. Of the 20 filing records displayed, 4 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

PFSI Filing Activity Snapshot 2026-05-07 — 2026-09-14

Insider Transactions (Form 4)

0 buys vs 4 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$886.3K

David Spector · 2026-05-12

10,000 shares · Form 144

Form 144 Notices

Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 10 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 10 filings in this group are Form 4s for PennyMac Financial Services, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 10 insider filings shown, the breakdown is 4 compensation award, 4 open-market sale and 2 other reported transaction. 4 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Compensation award ×4: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Open-market sale ×4: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Other reported transaction ×2: The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Form 4 Other reported transaction Tax / Compensation Filing 2026-08-04

PFSI insider Form 4 filed for equity award, exercise, or tax withholding

SPECTOR DAVID (Director, Chairman & CEO) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`J`	Other transaction	25,000	—	—

Filing: Form 4 (Insider Transaction) Insider: SPECTOR DAVID (Director, Chairman & CEO) Shares: 25,000

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-04

PFSI insider Form 4 filed for equity award, exercise, or tax withholding

NANJI FARHAD (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	379	$82.17	$31.1K

Filing: Form 4 (Insider Transaction) Insider: NANJI FARHAD (Director) Shares: 379

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-08-04

PFSI insider Form 4 filed for equity award, exercise, or tax withholding

Chandra Sunil (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	377	$82.17	$31.0K

Filing: Form 4 (Insider Transaction) Insider: Chandra Sunil (Director) Shares: 377

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-07-02

PFSI insider Hendry Gregory L (MD, Chief Accounting Officer) sold 2,177 shares (~$189.2K)

Hendry Gregory L, listed as MD, Chief Accounting Officer at PennyMac Financial Services, Inc., reported an open-market sale of 2,177 PFSI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`M`	Option exercise	2,177	$24.40	$53.1K
`S`	Open-market sale	2,177	$86.89	$189.2K
`M`	Option exercise derivative · Nonstatutory Stock Option (Right to Buy)	2,177	—	—

Filing: Form 4 (Insider Transaction) Insider: Hendry Gregory L (MD, Chief Accounting Officer) Shares: 2,177 Est. Value: $189.2K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-06-24

PFSI insider Hendry Gregory L (MD, Chief Accounting Officer) sold 2,943 shares (~$240.5K)

Hendry Gregory L, listed as MD, Chief Accounting Officer at PennyMac Financial Services, Inc., reported an open-market sale of 2,943 PFSI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`M`	Option exercise	2,943	$18.05	$53.1K
`S`	Open-market sale	2,943	$81.71	$240.5K
`M`	Option exercise derivative · Nonstatutory Stock Option (Right to Buy)	2,943	—	—

Filing: Form 4 (Insider Transaction) Insider: Hendry Gregory L (MD, Chief Accounting Officer) Shares: 2,943 Est. Value: $240.5K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-05-18

PFSI insider Perotti Daniel Stanley (Chief Financial Officer) sold 2,925 shares (~$255.9K)

Perotti Daniel Stanley, listed as Chief Financial Officer at PennyMac Financial Services, Inc., reported an open-market sale of 2,925 PFSI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	2,925	$87.50	$255.9K

Filing: Form 4 (Insider Transaction) Insider: Perotti Daniel Stanley (Chief Financial Officer) Shares: 2,925 Est. Value: $255.9K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-05-13

PFSI insider SPECTOR DAVID (Director, Chairman & CEO) sold 10,000 shares (~$879.9K)

SPECTOR DAVID, listed as Director, Chairman & CEO at PennyMac Financial Services, Inc., reported an open-market sale of 10,000 PFSI shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	2,772	$86.88	$240.8K
`S`	Open-market sale	3,144	$88.02	$276.7K
`S`	Open-market sale	4,084	$88.71	$362.3K

Filing: Form 4 (Insider Transaction) Insider: SPECTOR DAVID (Director, Chairman & CEO) Shares: 10,000 Est. Value: $879.9K

View on SEC EDGAR → Open Filing Document →

Form 4 Other reported transaction Tax / Compensation Filing 2026-05-08

PFSI insider Form 4 filed for equity award, exercise, or tax withholding

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`J`	Other transaction	25,000	—	—

Filing: Form 4 (Insider Transaction) Insider: SPECTOR DAVID (Director, Chairman & CEO) Shares: 25,000

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-05-07

PFSI insider Form 4 filed for equity award, exercise, or tax withholding

NANJI FARHAD (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	338	$93.03	$31.4K

Filing: Form 4 (Insider Transaction) Insider: NANJI FARHAD (Director) Shares: 338

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-05-07

PFSI insider Form 4 filed for equity award, exercise, or tax withholding

MAZZELLA JOSEPH F (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	359	$93.03	$33.4K

Filing: Form 4 (Insider Transaction) Insider: MAZZELLA JOSEPH F (Director) Shares: 359

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 5 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. PennyMac Financial Services, Inc. has 5 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-08-04

PFSI Form 144 filed for proposed insider sale by MAZZELLA JOSEPH F (3,401 shares) ~$263.2K

MAZZELLA JOSEPH F filed a Form 144 with the SEC indicating intent to sell PFSI (PennyMac Financial Services, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: MAZZELLA JOSEPH F Shares: 3,401 Est. Value: $263.2K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-07-01

PFSI Form 144 filed for proposed insider sale by Hendry Gregory L (2,177 shares) ~$189.2K

Hendry Gregory L filed a Form 144 with the SEC indicating intent to sell PFSI (PennyMac Financial Services, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Hendry Gregory L Shares: 2,177 Est. Value: $189.2K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-06-22

PFSI Form 144 filed for proposed insider sale by Hendry Gregory L (2,943 shares) ~$240.5K

Filing: Form 144 (Proposed Sale Notice) Insider: Hendry Gregory L Shares: 2,943 Est. Value: $240.5K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-05-15

PFSI Form 144 filed for proposed insider sale by Perotti Daniel Stanley (2,925 shares) ~$255.9K

Perotti Daniel Stanley filed a Form 144 with the SEC indicating intent to sell PFSI (PennyMac Financial Services, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Perotti Daniel Stanley Shares: 2,925 Est. Value: $255.9K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-05-12

PFSI Form 144 filed for proposed insider sale by David Spector (10,000 shares) ~$886.3K

David Spector filed a Form 144 with the SEC indicating intent to sell PFSI (PennyMac Financial Services, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: David Spector Shares: 10,000 Est. Value: $886.3K

View on SEC EDGAR → Open Filing Document →

Material Events 4 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 4 in this period for PennyMac Financial Services, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-09-14

PFSI filed 8-K — material company event

PennyMac Financial Services, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-07-29

PFSI filed 8-K — material company event

PennyMac Financial Services, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-06-11

PFSI filed 8-K — material company event

PennyMac Financial Services, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-06-04

PFSI filed 8-K — material company event

PennyMac Financial Services, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Periodic Reports 1 · Forms 10-K and 10-Q

The periodic reports are where the audited and reviewed financial statements live. This period contains 1 quarterly report (10-Q) for PennyMac Financial Services, Inc.

The two are not equivalent in weight. A 10-K is audited by an external firm and includes the full risk factor disclosure, business description and management discussion; a 10-Q is unaudited, reviewed rather than examined, and much shorter. When a figure in a quarterly report is later revised, the annual report is usually where the correction appears.

An amended report — 10-K/A or 10-Q/A — restates or corrects something in the original filing, and is worth reading against the version it replaces.

Form 10-Q Quarterly Report 2026-08-04

PFSI filed Quarterly Report (10-Q)

PennyMac Financial Services, Inc. filed its quarterly report with the SEC. This report includes unaudited financial statements and management discussion for the quarter.

Filing: 10-Q (Quarterly Report)

View on SEC EDGAR → Open Filing Document →

How we classify PennyMac Financial Services, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on PFSI. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — PFSI SEC Filings

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PFSI Full Analysis

Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.

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