PFSI

SEC source: 0001127602-23-008060 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,804

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

F2 · balance_after: The reported amount consists of 24,984 restricted stock units and 19,820 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-008058 · form4.xml · nonDerivative · entry 1

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,504

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

F2 · balance_after: The reported amount consists of 11,973 restricted stock units and 10,531 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-008042 · form4.xml · nonDerivative · entry 1

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,343

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

F2 · 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.

SEC source: 0001127602-23-008064 · form4.xml · nonDerivative · entry 1

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,818

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

F2 · balance_after: The reported amount consists of 3,080 restricted stock units and 3,738 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007659 · form4.xml · nonDerivative · entry 1

JACOBSON JONATHON S · CIK 0001080168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,069

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 4,682 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007693 · form4.xml · derivative · entry 11

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,166 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.

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007693 · form4.xml · derivative · entry 10

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,166

Underlying: Common Stock · 20,166 shares

Expires not disclosed

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007693 · form4.xml · derivative · entry 9

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,575

Underlying: Common Stock · 11,575 shares

Expires 2033-02-23

F7 · derivative.underlying_shares: This nonstatutory stock option to purchase 11,575 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 service through each date.

SEC source: 0001127602-23-007693 · form4.xml · nonDerivative · entry 3

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,203

F5 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

F6 · balance_after: The reported amount consists of 15,049 restricted stock units and 14,154 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007693 · form4.xml · nonDerivative · entry 2

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,698

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 · 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%.

F4 · balance_after: The reported amount consists of 15,049 restricted stock units and 22,649 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007693 · form4.xml · nonDerivative · entry 1

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,532

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 15,049 restricted stock units and 2,483 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007673 · form4.xml · nonDerivative · entry 1

Tozer Theodore W · CIK 0001712649 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,634

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 19,247 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007661 · form4.xml · nonDerivative · entry 1

Kinsella Patrick · CIK 0001612388 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,596

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 34,209 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007698 · form4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,995 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.

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007698 · form4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,995

Underlying: Common Stock · 2,995 shares

Expires not disclosed

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007698 · form4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,028

Underlying: Common Stock · 1,028 shares

Expires 2033-02-23

F7 · derivative.underlying_shares: This nonstatutory stock option to purchase 1,028 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.

SEC source: 0001127602-23-007698 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,445

F5 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

F6 · balance_after: The reported amount consists of 1,805 restricted stock units and 45,640 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007698 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,587

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 · 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%.

F4 · balance_after: The reported amount consists of 1,805 restricted stock units and 46,782 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007698 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,592

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 1,805 restricted stock units and 43,787 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007665 · form4.xml · nonDerivative · entry 1

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,926

F1 · shares: The Reporting Person was granted restricted stock units in connection with her service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number shares of Common Stock upon vesting.

F2 · 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.

SEC source: 0001127602-23-007663 · form4.xml · nonDerivative · entry 1

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,287

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 135,900 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007695 · form4.xml · derivative · entry 6

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,371 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.

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007695 · form4.xml · derivative · entry 5

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,371

Underlying: Common Stock · 10,371 shares

Expires not disclosed

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007695 · form4.xml · derivative · entry 4

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,202

Underlying: Common Stock · 7,202 shares

Expires 2033-02-23

F7 · derivative.underlying_shares: This nonstatutory stock option to purchase 7,202 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.

SEC source: 0001127602-23-007695 · form4.xml · nonDerivative · entry 3

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,080

F5 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

F6 · balance_after: The reported amount consists of 9,792 restricted stock units and 44,288 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007695 · form4.xml · nonDerivative · entry 2

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,667

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 · 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%.

F4 · balance_after: The reported amount consists of 9,792 restricted stock units and 47,875 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007695 · form4.xml · nonDerivative · entry 1

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,296

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 9,792 restricted stock units and 37,504 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007657 · form4.xml · nonDerivative · entry 1

Hunt James K · CIK 0001359733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,968

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 27,581 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007689 · form4.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,504 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.

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007689 · form4.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,504

Underlying: Common Stock · 26,504 shares

Expires not disclosed

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007689 · form4.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,724

Underlying: Common Stock · 25,724 shares

Expires 2033-02-23

F7 · derivative.underlying_shares: 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 23, 2023, 2024 and 2025, subject to the Reporting Person's continued service through each date.

SEC source: 0001127602-23-007689 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,167

F5 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

F6 · balance_after: The reported amount consists of 29,985 restricted stock units and 17,182 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007689 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,347

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 · 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%.

F4 · balance_after: The reported amount consists of 29,985 restricted stock units and 30,362 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007689 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,843

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 29,985 restricted stock units and 3,858 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007691 · form4.xml · derivative · entry 9

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,166 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.

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007691 · form4.xml · derivative · entry 8

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,166

Underlying: Common Stock · 20,166 shares

Expires not disclosed

F3 · 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%.

F3 · 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%.

F3 · 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%.

SEC source: 0001127602-23-007691 · form4.xml · derivative · entry 7

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,688

Underlying: Common Stock · 6,688 shares

Expires 2033-02-23

F7 · derivative.underlying_shares: This nonstatutory stock option to purchase 6,688 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.

SEC source: 0001127602-23-007691 · form4.xml · nonDerivative · entry 3

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,911

F5 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

F6 · balance_after: The reported amount consists of 11,973 restricted stock units and 11,938 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007691 · form4.xml · nonDerivative · entry 2

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,910

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 · 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%.

F4 · balance_after: The reported amount consists of 11,973 restricted stock units and 21,937 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007691 · form4.xml · nonDerivative · entry 1

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,744

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 11,973 restricted stock units and 1,771 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007667 · form4.xml · nonDerivative · entry 1

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,564

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 176,177 of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007699 · form4.xml · derivative · entry 7

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,166 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.

F2 · 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%.

F2 · 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%.

F2 · 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%.

SEC source: 0001127602-23-007699 · form4.xml · derivative · entry 6

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,166

Underlying: Common Stock · 20,166 shares

Expires not disclosed

F2 · 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%.

F2 · 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%.

F2 · 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%.

SEC source: 0001127602-23-007699 · form4.xml · derivative · entry 5

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,862

Underlying: Common Stock · 12,862 shares

Expires 2033-02-23

F4 · derivative.underlying_shares: This nonstatutory stock option to purchase 12,862 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.

SEC source: 0001127602-23-007699 · form4.xml · nonDerivative · entry 3

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,406

F3 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

SEC source: 0001127602-23-007699 · form4.xml · nonDerivative · entry 2

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,244

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.

F2 · 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%.

SEC source: 0001127602-23-007699 · form4.xml · nonDerivative · entry 1

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,078

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007675 · form4.xml · nonDerivative · entry 1

Youssouf Emily Ann · CIK 0001592168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,253

F1 · shares: The Reporting Person was granted restricted stock units in connection with her service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 30,866 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007671 · form4.xml · nonDerivative · entry 1

Shalett Lisa M · CIK 0001828587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,741

F1 · shares: The Reporting Person was granted restricted stock units in connection with her service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 5,354 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007669 · form4.xml · nonDerivative · entry 1

Perlowitz Jeffrey A. · CIK 0001768320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,606

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 2,387 restricted stock units and 12,219 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.