PFSI

SEC source: 0001127602-23-007963 · form4.xml · derivative · entry 7

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,743 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: 0001127602-23-007963 · form4.xml · derivative · entry 6

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,743

Underlying: Common Stock · 20,743 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: 0001127602-23-007963 · form4.xml · derivative · entry 5

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,833

Underlying: Common Stock · 11,833 shares

Expires 2033-02-23

F7 · derivative.underlying_shares: This nonstatutory stock option to purchase 11,833 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: 0001127602-23-007963 · form4.xml · nonDerivative · entry 3

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,680

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

F6 · balance_after: The reported amount consists of 18,612 restricted stock units and 107,068 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: 0001127602-23-007963 · form4.xml · nonDerivative · entry 2

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,010

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 18,612 restricted stock units and 116,398 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: 0001127602-23-007963 · form4.xml · nonDerivative · entry 1

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,267

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 18,612 restricted stock units and 95,655 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: 0001127602-23-007715 · form4.xml · derivative · entry 7

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 51,903 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: 0001127602-23-007715 · form4.xml · derivative · entry 6

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,903

Underlying: Common Stock · 51,903 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: 0001127602-23-007715 · form4.xml · derivative · entry 5

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,303

Underlying: Common Stock · 46,303 shares

Expires 2033-02-23

F4 · derivative.underlying_shares: This nonstatutory stock option to purchase 46,303 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: 0001127602-23-007715 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 694,817

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

SEC source: 0001127602-23-007715 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 720,551

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: 0001127602-23-007715 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 668,648

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: 0001127602-23-007720 · form4.xml · derivative · entry 2

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,572

Underlying: Common Stock · 2,572 shares

Expires 2033-02-23

F2 · derivative.underlying_shares: This nonstatutory stock option to purchase 2,572 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: 0001127602-23-007720 · form4.xml · nonDerivative · entry 1

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,916

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: 0001127602-23-007384 · form4.xml · nonDerivative · entry 1

Follette James · CIK 0001912289 · Chief Mort Fulfillment Off.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,902

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

F2 · balance_after: The reported amount consists of 10,419 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: 0001127602-23-007375 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,181

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

F2 · balance_after: The reported amount consists of 1,394 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: 0001127602-23-007373 · form4.xml · nonDerivative · entry 1

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,534

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

F2 · balance_after: The reported amount consists of 13,879 restricted stock units and 95,655 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: 0001127602-23-007378 · form4.xml · nonDerivative · entry 1

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,415

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

F2 · balance_after: The reported amount consists of 6,911 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: 0001127602-23-007365 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,127

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

F2 · balance_after: The reported amount consists of 41,095 restricted stock units and 609,032 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: 0001127602-23-007382 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,554

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

F2 · balance_after: The reported amount consists of 19,696 restricted stock units and 3,858 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.

SEC source: 0001127602-23-007380 · form4.xml · nonDerivative · entry 1

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,069

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

F2 · balance_after: The reported amount consists of 9,298 restricted stock units and 1,771 of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-007371 · form4.xml · nonDerivative · entry 1

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,934

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

F2 · balance_after: The reported amount consists of 12,293 restricted stock units and 2,641 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: 0001127602-23-007386 · form4.xml · nonDerivative · entry 1

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,888

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

F2 · balance_after: The reported amount consists of 2,940 restricted stock units and 2,948 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: 0001127602-23-006293 · form4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,882 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.

SEC source: 0001127602-23-006293 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · GR Family Investments LLC

Disclosed balance after: 505,000

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $64.92 to $65.92. 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.

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $65.92 to $66.63. 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.

SEC source: 0001127602-23-006293 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,909

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $64.92 to $65.92. 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.

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $65.92 to $66.63. 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 · balance_after: The reported amount consists of 25,909 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-006293 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,791

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 25,909 restricted stock units and 15,882 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: 0001127602-23-004087 · form4.xml · derivative · entry 10

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,702

Underlying: Common Stock · 15,403 shares

Expires 2030-02-25

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.

SEC source: 0001127602-23-004087 · 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 · 3,520 shares

Expires 2029-03-14

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.

SEC source: 0001127602-23-004087 · form4.xml · nonDerivative · entry 7

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,914

F10 · balance_after: The reported amount consists of 11,914 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-004087 · form4.xml · nonDerivative · entry 6

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,317

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.

F9 · balance_after: The reported amount consists of 11,914 restricted stock units and 15,403 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: 0001127602-23-004087 · form4.xml · nonDerivative · entry 5

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,914

F6 · price: The price reported is the weighted average price of multiple transactions ranging from $65.52 to $66.51. 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.

F7 · price: The price reported is the weighted average price of multiple transactions ranging from $66.52 to $66.87. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the prices at which the transactions were effected.

F8 · balance_after: The reported amount consists of 11,914 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-004087 · form4.xml · nonDerivative · entry 4

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,434

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.

F5 · balance_after: The reported amount consists of 11,914 restricted stock units and 3,520 of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-004087 · form4.xml · derivative · entry 8

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,520

Underlying: Common Stock · 4,317 shares

Expires 2029-03-14

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.

SEC source: 0001127602-23-004087 · form4.xml · nonDerivative · entry 3

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,914

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $65.80 to $66.62. 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 11,914 restricted stock units. These restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-004087 · form4.xml · nonDerivative · entry 2

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,140

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $65.80 to $66.62. 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.

F3 · balance_after: The reported amount consists of 11,914 restricted stock units and 25,226 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: 0001127602-23-004087 · form4.xml · nonDerivative · entry 1

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,457

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 11,914 restricted stock units and 29,543 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: 0001127602-23-003887 · form4.xml · nonDerivative · entry 1

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,177

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 2,539 restricted stock units and 173,638 of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-23-003889 · form4.xml · derivative · entry 7

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,464

Underlying: Common Stock · 1,231 shares

Expires 2031-02-24

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.

SEC source: 0001127602-23-003889 · form4.xml · derivative · entry 6

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,051 shares

Expires 2030-12-13

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.

SEC source: 0001127602-23-003889 · form4.xml · derivative · entry 5

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 854 shares

Expires 2028-03-08

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.

SEC source: 0001127602-23-003889 · form4.xml · nonDerivative · entry 4

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,236

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $64.23 to $64.88. 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 affected.

SEC source: 0001127602-23-003889 · form4.xml · nonDerivative · entry 3

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,372

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 · balance_after: The reported amount consists of 3,823 restricted stock units and 8,549 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: 0001127602-23-003889 · form4.xml · nonDerivative · entry 2

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,141

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 · balance_after: The reported amount consists of 3,823 restricted stock units and 7,318 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: 0001127602-23-003889 · form4.xml · nonDerivative · entry 1

White Donald J. · CIK 0001912290 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,090

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 3,823 restricted stock units and 3,267 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: 0001127602-23-004089 · form4.xml · nonDerivative · entry 1

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,900

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 2,539 restricted stock units and 133,361 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: 0001127602-23-000218 · form4.xml · derivative · entry 7

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 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.

SEC source: 0001127602-23-000218 · form4.xml · nonDerivative · entry 4

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,134

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $56.00 to $56.23. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F5 · balance_after: The reported amount consists of 18,444 restricted stock units and 77,690 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: 0001127602-23-000218 · form4.xml · nonDerivative · entry 3

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,634

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 · balance_after: The reported amount consists of 18,444 restricted stock units and 85,190 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: 0001127602-23-000218 · form4.xml · derivative · entry 6

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 8,382 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.