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NYSE · USD

PFSI

PennyMac Financial Services, Inc.

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Tapewire entity
4100
SEC CIK
0001745916
Parsed reports
752

Last 12 months

Inside the activity.

1 purchase rows · 38 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202508
Dec 202504
Jan 202603
Feb 202618
Mar 202607
Apr 202602
May 202604
Jun 202601
Jul 202601
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 01, 2023 Filed Dec 5, 2023 22:17 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 5,270 $78.30 $412,653.12
Disclosure

SEC source: 0001127602-23-028919 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 310,334

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $77.21 to $78.10. 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.

Read SEC document
November 15, 2023 Filed Nov 16, 2023 22:30 UTC
Perotti Daniel StanleyChief Financial Officer
SaleCommon Stock 7,600 $76.16 $578,816.00
Disclosure

SEC source: 0001127602-23-027639 · form4.xml · nonDerivative · entry 2

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Indirect · The Perotti Family Trust

Disclosed balance after: 273,097

Read SEC document
November 08, 2023 Filed Nov 9, 2023 22:15 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $71.47 $1,072,120.50
Disclosure

SEC source: 0001127602-23-027122 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 315,604

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $71.16 to $71.87. 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.

Read SEC document
October 02, 2023 Filed Oct 4, 2023 21:50 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $65.82 $987,249.00
Disclosure

SEC source: 0001127602-23-025533 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 330,604

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $65.09 to $66.06. 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.

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $66.12 to $66.99. 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.

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $67.03 to $67.72. 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.

Read SEC document
September 20, 2023 Filed Sep 21, 2023 23:31 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $69.23 $1,038,387.00
Disclosure

SEC source: 0001127602-23-024618 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 345,604

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $68.91 to $69.57. 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.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 21:22 UTC
Perotti Daniel StanleyChief Financial Officer
SaleCommon Stock 7,600 $72.37 $550,012.00
Disclosure

SEC source: 0001127602-23-022852 · form4.xml · nonDerivative · entry 2

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Indirect · The Perotti Family Trust

Disclosed balance after: 280,697

Read SEC document
August 07, 2023 Filed Aug 8, 2023 22:04 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $76.28 $1,144,125.00
Disclosure

SEC source: 0001127602-23-022214 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 360,604

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $75.62 to $75.94. 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.

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $76.01 to $76.75. 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.

Read SEC document
July 18, 2023 Filed Jul 19, 2023 21:24 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $77.32 $1,159,800.00
Disclosure

SEC source: 0001127602-23-021056 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 375,604

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $76.39 to $76.98. 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.

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $77.00 to $77.90. 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.

Read SEC document
June 13, 2023 Filed Jun 14, 2023 21:37 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $68.10 $1,021,497.00
Disclosure

SEC source: 0001127602-23-018725 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 390,604

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $67.35 to $67.99. 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.

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $68.00 to $68.56. 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.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 17:53 UTC Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 28,216 $0.00 Strike: $17.26 $0.00
Disclosure

SEC source: 0001127602-23-018471 · form4.xml · derivative · entry 4

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,216 shares

Expires 2024-02-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 17:53 UTC SaleCommon Stock 28,216 $64.95 $1,832,677.17
Disclosure

SEC source: 0001127602-23-018471 · form4.xml · nonDerivative · entry 3

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,926

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $64.53 to $65.04. 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.

F3 · balance_after: The reported amount consists of 2,387 restricted stock units and 2,539 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 17:53 UTC Exercise / conversionCommon Stock 28,216 $17.26 $487,008.16
Disclosure

SEC source: 0001127602-23-018471 · form4.xml · nonDerivative · entry 2

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,142

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The reported amount consists of 2,387 restricted stock units and 30,755 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
June 02, 2023 Filed Jun 5, 2023 20:16 UTC
STARK DEREKChief Legal Officer
GiftCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-017969 · form4.xml · nonDerivative · entry 2

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,211

F3 · shares: Represents a bona fide gift of shares to a charitable organization.

F4 · balance_after: The reported amount consists of 8,211 restricted stock units and 20,000 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 20:16 UTC
STARK DEREKChief Legal Officer
SaleCommon Stock 6,500 $61.52 $399,894.95
Disclosure

SEC source: 0001127602-23-017969 · form4.xml · nonDerivative · entry 1

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,211

F1 · price: The price reported is the weighted average price of multiple transactions ranging from $61.20 to $61.92. 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.

F2 · balance_after: The reported amount consists of 8,211 restricted stock units and 21,000 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
June 01, 2023 Filed Jun 5, 2023 20:12 UTC
Jones DougDirector · Director, President & CMBO
SaleCommon Stock 20,000 $61.58 $1,231,528.00
Disclosure

SEC source: 0001127602-23-017965 · form4.xml · nonDerivative · entry 5

Jones Doug · CIK 0001544302 · Director · Director, President & CMBO

10b5-1 filing: No plan indicated

Ownership: Indirect · GR Family Investments LLC

Disclosed balance after: 485,000

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $61.41 to $61.92. 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.

Read SEC document
May 22, 2023 Filed May 24, 2023 18:55 UTC
Jones DougPresident & Chief Mtg Bkg Ofcr
SaleCommon Stock 19,820 $62.39 $1,236,546.02
Disclosure

SEC source: 0001127602-23-016775 · form4.xml · nonDerivative · entry 4

Jones Doug · CIK 0001544302 · President & Chief Mtg Bkg Ofcr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,984

F1 · price: The price reported is the weighted average price of multiple transactions ranging from $61.97 to $62.94. 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.

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $62.97 to $63.32. 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.

F3 · balance_after: The reported amount consists of 24,984 restricted stock units which are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
May 17, 2023 Filed May 18, 2023 22:31 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $61.96 $929,452.50
Disclosure

SEC source: 0001127602-23-016220 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 405,604

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $61.72 to $62.35. 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.

Read SEC document
May 01, 2023 Filed May 3, 2023 22:26 UTC GrantCommon Stock 421 $63.03 $26,535.63
Disclosure

SEC source: 0001127602-23-014364 · form4.xml · nonDerivative · entry 1

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,708

F1 · shares: The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of Issuer during the previous quarter. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 136,321 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
May 01, 2023 Filed May 3, 2023 22:28 UTC
NANJI FARHADDirector
GrantCommon Stock 390 $63.03 $24,581.70
Disclosure

SEC source: 0001127602-23-014366 · form4.xml · nonDerivative · entry 1

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 178,954

F1 · shares: The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of Issuer during the previous quarter. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 176,567 of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
April 04, 2023 Filed Apr 5, 2023 22:25 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $59.71 $895,713.00
Disclosure

SEC source: 0001127602-23-012621 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 420,604

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $59.19 to $60.18. 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.

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $60.20 to $60.47. 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.

Read SEC document
March 30, 2023 Filed Apr 3, 2023 23:11 UTC
Hendry Gregory LMD, Chief Accounting Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 2,018 $0.00 Strike: $21.03 $0.00
Disclosure

SEC source: 0001127602-23-011993 · form4.xml · derivative · entry 3

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,018 shares

Expires 2023-06-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.underlying_shares: This nonstatutory stock option to purchase 2,018 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.

Read SEC document
March 30, 2023 Filed Apr 3, 2023 23:11 UTC
Hendry Gregory LMD, Chief Accounting Officer
SaleCommon Stock 2,018 $57.92 $116,882.56
Disclosure

SEC source: 0001127602-23-011993 · form4.xml · nonDerivative · entry 2

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,182

F2 · balance_after: The reported amount consists of 1,017 restricted stock units and 46,165 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
March 30, 2023 Filed Apr 3, 2023 23:11 UTC
Hendry Gregory LMD, Chief Accounting Officer
Exercise / conversionCommon Stock 2,018 $21.03 $42,438.54
Disclosure

SEC source: 0001127602-23-011993 · form4.xml · nonDerivative · entry 1

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,200

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The reported amount consists of 1,017 restricted stock units and 48,183 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting

Read SEC document
March 20, 2023 Filed Mar 23, 2023 00:38 UTC
Perotti Daniel StanleyChief Financial Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 2,523 $0.00 Strike: $21.03 $0.00
Disclosure

SEC source: 0001127602-23-011066 · form4.xml · derivative · entry 4

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,523 shares

Expires 2023-06-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.underlying_shares: The nonstautory stock option to purchase 2,523 shares of Common Stock of the Issuer will vest on June 13, 2014, the one year anniversary date of the optioned shares, subject to the Reporting Person's continued service through that date.

Read SEC document
March 20, 2023 Filed Mar 23, 2023 00:38 UTC
Perotti Daniel StanleyChief Financial Officer
SaleCommon Stock 2,523 $57.13 $144,130.66
Disclosure

SEC source: 0001127602-23-011066 · form4.xml · nonDerivative · entry 3

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,343

F2 · price: The price reported is the weighted average price of multiple transactions at prices ranging from $57.12 to $57.16. 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.

F3 · balance_after: The reported amount consists of 14,364 restricted stock units and 15,979 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
March 20, 2023 Filed Mar 23, 2023 00:38 UTC
Perotti Daniel StanleyChief Financial Officer
Exercise / conversionCommon Stock 2,523 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-011066 · form4.xml · nonDerivative · entry 2

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,866

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The reported amount consists of 14,364 restricted stock units and 18,502 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
March 07, 2023 Filed Mar 10, 2023 00:08 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $61.69 $925,359.00
Disclosure

SEC source: 0001127602-23-009684 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 435,604

F2 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $61.30 to $62.30. 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.

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $62.30 to $62.65. 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.

Read SEC document
March 03, 2023 Filed Mar 7, 2023 20:10 UTC
STARK DEREKChief Legal Officer
GiftCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-009376 · form4.xml · nonDerivative · entry 1

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,711

F1 · shares: Represents a bona fide gift of shares to a charitable organization.

F2 · balance_after: The reported amount consists of 8,211 restricted stock units and 27,500 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
March 02, 2023 Filed Mar 3, 2023 02:15 UTC
White Donald J.Chief Risk Officer
Exercise / conversionPerformance-Based Restricted Stock Units · Derivative 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-008530 · form4.xml · derivative · entry 4

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,493 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 26, 2020 and vested on February 24, 2023, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2020 through December 31, 2022 resulting in a payout percentage for the award of 162%.

F1 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 26, 2020 and vested on February 24, 2023, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2020 through December 31, 2022 resulting in a payout percentage for the award of 162%.

F1 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 26, 2020 and vested on February 24, 2023, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2020 through December 31, 2022 resulting in a payout percentage for the award of 162%.

Read SEC document
March 02, 2023 Filed Mar 3, 2023 02:15 UTC
White Donald J.Chief Risk Officer
GrantPerformance-Based Restricted Stock Units · Derivative 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-008530 · form4.xml · derivative · entry 3

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,493

Underlying: Common Stock · 4,493 shares

Expires not disclosed

F1 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 26, 2020 and vested on February 24, 2023, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2020 through December 31, 2022 resulting in a payout percentage for the award of 162%.

F1 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 26, 2020 and vested on February 24, 2023, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2020 through December 31, 2022 resulting in a payout percentage for the award of 162%.

F1 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 26, 2020 and vested on February 24, 2023, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2020 through December 31, 2022 resulting in a payout percentage for the award of 162%.

Read SEC document
March 02, 2023 Filed Mar 3, 2023 02:15 UTC
White Donald J.Chief Risk Officer
SaleCommon Stock 1,630 $60.62 $98,805.38
Disclosure

SEC source: 0001127602-23-008530 · form4.xml · nonDerivative · entry 2

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,469

F3 · shares: Represents shares required to be sold to cover tax withholding obligations in connection with the vesting of performance-based restricted stock units.

F4 · balance_after: The reported amount consists of 3,080 restricted stock units and 6,389 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
March 02, 2023 Filed Mar 3, 2023 02:15 UTC
White Donald J.Chief Risk Officer
Exercise / conversionCommon Stock 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-008530 · form4.xml · nonDerivative · entry 1

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,099

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 26, 2020 and vested on February 24, 2023, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2020 through December 31, 2022 resulting in a payout percentage for the award of 162%.

F2 · balance_after: The reported amount consists of 3,080 restricted stock units and 8,019 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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March 01, 2023 Filed Mar 1, 2023 21:32 UTC
Follette JamesChief Mort Fulfillment Off.
SaleCommon Stock 200 $61.38 $12,276.00
Disclosure

SEC source: 0001127602-23-008062 · form4.xml · nonDerivative · entry 4

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,475

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F5 · price: The price reported is the weighted average price of multiple transactions ranging from $61.36 to $61.40. 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.

F7 · balance_after: The reported amount consists of 11,976 restricted stock units and 499 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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March 01, 2023 Filed Mar 1, 2023 21:32 UTC
Follette JamesChief Mort Fulfillment Off.
SaleCommon Stock 11,471 $60.66 $695,844.63
Disclosure

SEC source: 0001127602-23-008062 · form4.xml · nonDerivative · entry 3

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,675

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F5 · price: The price reported is the weighted average price of multiple transactions ranging from $61.36 to $61.40. 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.

F6 · balance_after: The reported amount consists of 11,976 restricted stock units and 699 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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March 01, 2023 Filed Mar 1, 2023 21:26 UTC
STARK DEREKChief Legal Officer
SaleCommon Stock 400 $61.34 $24,536.00
Disclosure

SEC source: 0001127602-23-008056 · form4.xml · nonDerivative · entry 4

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,711

F5 · shares: A portion of these shares of Common Stock were sold pursuant to a 10b5-1 plan.

F8 · balance_after: The reported amount consists of 8,211 restricted stock units and 28,500 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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March 01, 2023 Filed Mar 1, 2023 21:26 UTC
STARK DEREKChief Legal Officer
SaleCommon Stock 13,884 $60.61 $841,496.74
Disclosure

SEC source: 0001127602-23-008056 · form4.xml · nonDerivative · entry 3

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,111

F5 · shares: A portion of these shares of Common Stock were sold pursuant to a 10b5-1 plan.

F6 · price: The price reported is the weighted average price of multiple transactions ranging from $60.26 to $61.22. 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.

F7 · balance_after: The reported amount consists of 8,211 restricted stock units and 28,900 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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March 01, 2023 Filed Mar 2, 2023 02:14 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 528 $61.29 $32,362.55
Disclosure

SEC source: 0001127602-23-008034 · form4.xml · nonDerivative · entry 5

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,183

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F7 · price: The price reported is the weighted average price of multiple transactions ranging from $61.22 to $61.40. 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.

F8 · balance_after: The reported amount consists of 50,153 restricted stock units and 600,030 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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March 01, 2023 Filed Mar 2, 2023 02:14 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 25,641 $60.63 $1,554,624.09
Disclosure

SEC source: 0001127602-23-008034 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,711

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F5 · price: The price reported is the weighted average price of multiple transactions ranging from $60.20 to $61.16. 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.

F6 · balance_after: The reported amount consists of 50,153 restricted stock units and 590,558 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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March 01, 2023 Filed Mar 1, 2023 21:28 UTC
Bailey Steven RichardChief Servicing Officer
SaleCommon Stock 615 $61.20 $37,638.43
Disclosure

SEC source: 0001127602-23-008058 · form4.xml · nonDerivative · entry 3

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,900

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $61.18 to $61.23. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.

F5 · balance_after: The reported amount consists of 8,900 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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March 01, 2023 Filed Mar 1, 2023 21:28 UTC
Bailey Steven RichardChief Servicing Officer
SaleCommon Stock 12,989 $60.68 $788,116.67
Disclosure

SEC source: 0001127602-23-008058 · form4.xml · nonDerivative · entry 2

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,515

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $61.18 to $61.23. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.

F4 · balance_after: The reported amount consists of 8,900 restricted stock units and 615 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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March 01, 2023 Filed Mar 2, 2023 02:35 UTC
White Donald J.Chief Risk Officer
SaleCommon Stock 212 $60.74 $12,876.88
Disclosure

SEC source: 0001127602-23-008064 · form4.xml · nonDerivative · entry 2

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,606

F3 · shares: Represents shares required to be sold to cover tax withholding obligations in connection with the vesting of restricted share units.

F4 · balance_after: The reported amount consists of 3,080 restricted stock units and 3,526 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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February 28, 2023 Filed Mar 1, 2023 21:32 UTC
Follette JamesChief Mort Fulfillment Off.
SaleCommon Stock 3,994 $59.04 $235,805.76
Disclosure

SEC source: 0001127602-23-008062 · form4.xml · nonDerivative · entry 2

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,146

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F4 · balance_after: The reported amount consists of 11,976 restricted stock units and 12,170 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
February 28, 2023 Filed Mar 1, 2023 21:26 UTC
STARK DEREKChief Legal Officer
SaleCommon Stock 2,537 $59.04 $149,784.48
Disclosure

SEC source: 0001127602-23-008056 · form4.xml · nonDerivative · entry 2

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,995

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F4 · balance_after: The reported amount consists of 8,211 restricted stock units and 42,784 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
February 28, 2023 Filed Mar 2, 2023 02:14 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 13,892 $59.04 $820,183.68
Disclosure

SEC source: 0001127602-23-008034 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 676,352

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F4 · balance_after: The reported amount consists of 50,153 restricted stock units and 626,199 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
February 27, 2023 Filed Mar 1, 2023 21:32 UTC
Follette JamesChief Mort Fulfillment Off.
Tax withholdingCommon Stock 1,063 $60.74 $64,566.62
Disclosure

SEC source: 0001127602-23-008062 · form4.xml · nonDerivative · entry 1

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,140

F1 · shares: Represents shares withheld for taxes upon vesting of restricted share units.

F2 · balance_after: The reported amount consists of 11,976 restricted stock units and 16,164 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
February 27, 2023 Filed Mar 2, 2023 02:24 UTC
Hendry Gregory LMD, Chief Accounting Officer
Tax withholdingCommon Stock 263 $60.74 $15,974.62
Disclosure

SEC source: 0001127602-23-008052 · form4.xml · nonDerivative · entry 1

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,182

F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F2 · balance_after: The reported amount consists of 1,017 restricted stock units and 46,165 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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February 27, 2023 Filed Mar 1, 2023 21:22 UTC
Fartaj VandadChief Investment Officer
Tax withholdingCommon Stock 1,192 $60.74 $72,402.08
Disclosure

SEC source: 0001127602-23-008048 · form4.xml · nonDerivative · entry 1

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,488

F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F2 · balance_after: The reported amount consists of 15,168 restricted stock units and 109,320 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
February 27, 2023 Filed Mar 1, 2023 21:26 UTC
STARK DEREKChief Legal Officer
Tax withholdingCommon Stock 548 $60.74 $33,285.52
Disclosure

SEC source: 0001127602-23-008056 · form4.xml · nonDerivative · entry 1

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,532

F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F2 · balance_after: The reported amount consists of 8,211 restricted stock units and 45,321 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
February 27, 2023 Filed Mar 2, 2023 02:14 UTC
SPECTOR DAVIDDirector · Chairman & CEO
SaleCommon Stock 15,000 $60.80 $912,057.00
Disclosure

SEC source: 0001127602-23-008034 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 450,604

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

Read SEC document
February 27, 2023 Filed Mar 2, 2023 02:14 UTC
SPECTOR DAVIDDirector · Chairman & CEO
Tax withholdingCommon Stock 4,573 $60.74 $277,764.02
Disclosure

SEC source: 0001127602-23-008034 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 690,244

F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F2 · balance_after: The reported amount consists of 50,153 restricted stock units and 640,091 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.