PFSI

SEC source: 0000904454-21-000325 · edgar.xml · nonDerivative · entry 2

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 267,472

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $58.21 to $58.42. The Reporting Person undertakes to provide to the Issuer, any shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: MFN Partners, LP (the "Partnership") is the holder of the Securities. MFN Partners GP, LLC ("MFN GP") is the General Partner to the Partnership. MFN Partners Management, LP ("MFN Management") is the investment adviser to the Partnership. MFN Partners Management, LLC ("MFN LLC") is the General Partner of MFN Management. The reporting person is a managing member of each of MFN GP and MFN LLC and disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001127602-21-009442 · form4.xml · nonDerivative · entry 3

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,280

F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F6 · balance_after: The reported amount consists of 12,445 restricted stock units and 16,835 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: 0001127602-21-009442 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,204

F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $60.83 to $61.34. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F5 · balance_after: The reported amount consists of 12,445 restricted stock units and 17,759 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: 0001127602-21-009442 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,354

F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $59.83 to $60.74. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F3 · balance_after: The reported amount consists of 12,445 restricted stock units and 18,909 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: 0001127602-21-008522 · form4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,294

F8 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F10 · balance_after: The reported amount consists of 3,084 restricted stock units and 40,210 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: 0001127602-21-008522 · form4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,380

F8 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F9 · balance_after: The reported amount consists of 3,084 restricted stock units and 40,296 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: 0001127602-21-008526 · form4.xml · nonDerivative · entry 4

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,393

F7 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F8 · balance_after: The reported amount consists of 17,012 restricted stock units and 72,381 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: 0001127602-21-008528 · form4.xml · nonDerivative · entry 4

Chang Andrew S · CIK 0001468932 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 999,998

F7 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F8 · balance_after: The reported amount consists of 17,972 restricted stock units and 982.026 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: 0001127602-21-008532 · form4.xml · nonDerivative · entry 4

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,906

F7 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F8 · balance_after: The reported amount consists of 9,663 restricted stock units and 53,243 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: 0001127602-21-008524 · form4.xml · nonDerivative · entry 4

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,105

F7 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F8 · balance_after: The reported amount consists of 12,445 restricted stock units and 26,660 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: 0001127602-21-008530 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,103,505

F7 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F8 · balance_after: The reported amount consists of 44,888 restricted stock units and 1,058,617 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: 0001127602-21-008520 · form4.xml · nonDerivative · entry 4

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,033

F7 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F8 · balance_after: The reported amount consists of 23,195 restricted stock units and 49,838 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: 0001127602-21-008534 · form4.xml · nonDerivative · entry 4

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,526

F7 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F8 · balance_after: The reported amount consists of 14,256 restricted stock units and 48,270 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: 0001127602-21-007955 · form4.xml · nonDerivative · entry 4

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · The Walker Trust 2002 Dated February 13, 2002, As Amended

Disclosed balance after: 63,085

F1 · 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 $62.66 to $63.05. 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: 0001127602-21-007955 · form4.xml · nonDerivative · entry 3

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · The Walker Trust 2002 Dated February 13, 2002, As Amended

Disclosed balance after: 65,585

F1 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $61.64 to $62.62. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

SEC source: 0001127602-21-008475 · form4.xml · nonDerivative · entry 1

JACOBSON JONATHON S · CIK 0001080168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,143

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 2,143 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-21-008510 · form4.xml · nonDerivative · entry 1

Tozer Theodore W · CIK 0001712649 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,708

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 6,360 restricted stock units and 10,348 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: 0001127602-21-008486 · form4.xml · nonDerivative · entry 1

Kinsella Patrick · CIK 0001612388 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,170

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 6,360 restricted stock units and 27,810 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: 0001127602-21-008522 · form4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,810 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.

F4 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F4 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F4 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008522 · form4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,810

Underlying: Common Stock · 1,810 shares

Expires not disclosed

F4 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F4 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F4 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008522 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,492

F6 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

F7 · balance_after: The reported amount consists of 3,673 restricted stock units and 39,819 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: 0001127602-21-008522 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,231

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 · shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F5 · balance_after: The reported amount consists of 3,673 restricted stock units and 40,558 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: 0001127602-21-008522 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,421

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.

F3 · balance_after: The reported amount consists of 3,673 restricted stock units and 38,748 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: 0001127602-21-008526 · form4.xml · derivative · entry 8

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,020 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 March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008526 · form4.xml · derivative · entry 7

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,020

Underlying: Common Stock · 22,020 shares

Expires not disclosed

F3 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008526 · form4.xml · derivative · entry 6

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2031-02-24

F9 · derivative.underlying_shares: This nonstatutory stock option to purchase 17,000 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date.

SEC source: 0001127602-21-008526 · form4.xml · nonDerivative · entry 3

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,152

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

F6 · balance_after: The reported amount consists of 19,153 restricted stock units and 70,999 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: 0001127602-21-008526 · form4.xml · nonDerivative · entry 2

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,065

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 March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F4 · balance_after: The reported amount consists of 19,153 restricted stock units and 79,912 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: 0001127602-21-008526 · form4.xml · nonDerivative · entry 1

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,045

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 19,153 restricted stock units and 57,892 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: 0001127602-21-008528 · form4.xml · derivative · entry 7

Chang Andrew S · CIK 0001468932 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,020 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 March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008528 · form4.xml · derivative · entry 6

Chang Andrew S · CIK 0001468932 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,020

Underlying: Common Stock · 22,020 shares

Expires not disclosed

F3 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008528 · form4.xml · derivative · entry 5

Chang Andrew S · CIK 0001468932 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,435

Underlying: Common Stock · 21,435 shares

Expires 2031-02-24

F9 · derivative.underlying_shares: This nonstatutory stock option to purchase 21,435 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date.

SEC source: 0001127602-21-008528 · form4.xml · nonDerivative · entry 3

Chang Andrew S · CIK 0001468932 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,754

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

F6 · balance_after: The reported amount consists of 20,113 restricted stock units and 980,641 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: 0001127602-21-008528 · form4.xml · nonDerivative · entry 2

Chang Andrew S · CIK 0001468932 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,009,650

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 March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F4 · balance_after: The reported amount consists of 20,113 restricted stock units and 989,537 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: 0001127602-21-008528 · form4.xml · nonDerivative · entry 1

Chang Andrew S · CIK 0001468932 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 987,630

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 20,113 restricted stock units and 967,517 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: 0001127602-21-008532 · form4.xml · derivative · entry 8

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,763 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 March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008532 · form4.xml · derivative · entry 7

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,763

Underlying: Common Stock · 13,763 shares

Expires not disclosed

F3 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008532 · form4.xml · derivative · entry 6

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,391

Underlying: Common Stock · 7,391 shares

Expires 2031-02-24

F9 · derivative.underlying_shares: This nonstatutory stock option to purchase 7,391 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 25, 2022, 2023 and 2024, subject to the Reporting Person's continued service through each date.

SEC source: 0001127602-21-008532 · form4.xml · nonDerivative · entry 3

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,324

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

F6 · balance_after: The reported amount consists of 10,911 restricted stock units and 52,413 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: 0001127602-21-008532 · form4.xml · nonDerivative · entry 2

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,206

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 March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F4 · balance_after: The reported amount consists of 10,911 restricted stock units and 57,295 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: 0001127602-21-008532 · form4.xml · nonDerivative · entry 1

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,443

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 10,911 restricted stock units and 43,532 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: 0001127602-21-008524 · form4.xml · derivative · entry 11

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,891 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 March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008524 · form4.xml · derivative · entry 10

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,891

Underlying: Common Stock · 17,891 shares

Expires not disclosed

F3 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008524 · form4.xml · derivative · entry 9

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,239

Underlying: Common Stock · 9,239 shares

Expires 2031-02-24

SEC source: 0001127602-21-008524 · form4.xml · nonDerivative · entry 3

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,786

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

F6 · balance_after: The reported amount consists of 14,050 restricted stock units and 25,736 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: 0001127602-21-008524 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,776

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 March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F4 · balance_after: The reported amount consists of 14,050 restricted stock units and 34,726 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: 0001127602-21-008524 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,885

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 14,050 restricted stock units and 16,835 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: 0001127602-21-008518 · form4.xml · derivative · entry 6

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,891 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 March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008518 · form4.xml · derivative · entry 5

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,891

Underlying: Common Stock · 17,891 shares

Expires not disclosed

F3 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

F3 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on March 9, 2018 and vested on February 25, 2021, 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 PNMAC pre-tax return on equity (ROE) of 39.4% for the period of January 1, 2018 through December 31, 2020 as measured against the ROE target established at the time of grant. The payout percentage for the award based on ROE achievement was 130%.

SEC source: 0001127602-21-008518 · form4.xml · nonDerivative · entry 3

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,473

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

F6 · balance_after: The reported amount consists of 7,329 restricted stock units and 13,144 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.