PFSI

SEC source: 0001127602-21-008518 · form4.xml · nonDerivative · entry 2

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,220

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 7,329 restricted stock units and 17,891 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 · nonDerivative · entry 1

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,329

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 7,329 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-21-008494 · form4.xml · nonDerivative · entry 1

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,643

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 359,283 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 · derivative · entry 8

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 55,052 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: 0001127602-21-008530 · form4.xml · derivative · entry 7

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,052

Underlying: Common Stock · 55,052 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: 0001127602-21-008530 · form4.xml · derivative · entry 6

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,589

Underlying: Common Stock · 53,589 shares

Expires 2031-02-24

F9 · derivative.underlying_shares: This nonstatutory stock option to purchase 53,589 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: 0001127602-21-008530 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,105,358

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

F6 · balance_after: The reported amount consists of 50,245 restricted stock units and 1,055,113 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 2

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,131,249

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 50,245 restricted stock units and 1,081,004 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 1

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,076,197

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 50,245 restricted stock units and 1,025,952 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: 0001127602-21-008482 · form4.xml · nonDerivative · entry 1

Hunt James K · CIK 0001359733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,042

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 38,682 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: 0001127602-21-008520 · form4.xml · derivative · entry 10

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,526 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: 0001127602-21-008520 · form4.xml · derivative · entry 9

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,526

Underlying: Common Stock · 27,526 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: 0001127602-21-008520 · form4.xml · derivative · entry 8

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,566

Underlying: Common Stock · 29,566 shares

Expires 2031-02-24

F9 · derivative.underlying_shares: This nonstatutory stock option to purchase 29,566 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: 0001127602-21-008520 · form4.xml · nonDerivative · entry 3

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,975

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

F6 · balance_after: The reported amount consists of 25,930 restricted stock units and 48,045 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 2

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,685

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 25,930 restricted stock units and 59,755 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 1

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,159

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 25,930 restricted stock units and 32,229 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: 0001127602-21-008499 · form4.xml · nonDerivative · entry 1

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,099

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 163,739 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 · derivative · entry 8

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial 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: 0001127602-21-008534 · form4.xml · derivative · entry 7

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial 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: 0001127602-21-008534 · form4.xml · derivative · entry 6

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,935

Underlying: Common Stock · 12,935 shares

Expires 2031-02-24

F9 · derivative.underlying_shares: This nonstatutory stock option to purchase 12,935 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: 0001127602-21-008534 · form4.xml · nonDerivative · entry 3

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,285

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

F6 · balance_after: The reported amount consists of 16,337 restricted stock units and 46,948 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: 0001127602-21-008534 · form4.xml · nonDerivative · entry 2

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,109

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 16,337 restricted stock units and 53,772 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 1

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,218

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 16,337 restricted stock units and 35,881 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: 0001127602-21-008512 · form4.xml · nonDerivative · entry 1

Youssouf Emily Ann · CIK 0001592168 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,327

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 6,360 restricted stock units and 31,967 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: 0001127602-21-008506 · form4.xml · nonDerivative · entry 1

Shalett Lisa M · CIK 0001828587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,815

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 2,815 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-21-008503 · form4.xml · nonDerivative · entry 1

Perlowitz Jeffrey A. · CIK 0001768320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,680

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 5,035 restricted stock units and 4,645 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 2

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: 73,085

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

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $61.475 to $62.31. 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 1

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: 76,272

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 $60.48 to $61.47. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

SEC source: 0001127602-21-007957 · form4.xml · nonDerivative · entry 3

KURLAND FAMILY INVESTMENTS, LLC · CIK 0001576057 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,481,490

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 $62.14 to $62.34. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

SEC source: 0001127602-21-007957 · form4.xml · nonDerivative · entry 2

KURLAND FAMILY INVESTMENTS, LLC · CIK 0001576057 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,485,821

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

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $61.09 to $62.09. 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: 0001127602-21-007957 · form4.xml · nonDerivative · entry 1

KURLAND FAMILY INVESTMENTS, LLC · CIK 0001576057 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,503,333

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 $60.07 to $61.06. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

SEC source: 0001127602-21-006771 · form4.xml · nonDerivative · entry 5

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: 83,085

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

F6 · price: The price reported is the weighted average price of multiple transactions ranging from $65.18 to $65.48. 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: 0001127602-21-006771 · 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: 84,085

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 $64.18 to $65.11. 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: 0001127602-21-006400 · form4.xml · nonDerivative · entry 7

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,063,878

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

F13 · price: The price reported is the weighted average price of multiple transactions ranging from $66.85 to $67.13. 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.

F14 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,025,952 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: 0001127602-21-006400 · form4.xml · nonDerivative · entry 6

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,064,978

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

F11 · price: The price reported is the weighted average price of multiple transactions ranging from $65.81 to $66.81. 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.

F12 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,027,052 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: 0001127602-21-006400 · form4.xml · nonDerivative · entry 5

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,070,375

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

F9 · price: The price reported is the weighted average price of multiple transactions ranging from $64.80 to $65.80. 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.

F10 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,032,449 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: 0001127602-21-006771 · 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: 93,085

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 $66.57 to $66.72. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

SEC source: 0001127602-21-006771 · form4.xml · nonDerivative · entry 2

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: 93,830

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

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $65.63 to $66.56. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

SEC source: 0001127602-21-006771 · form4.xml · nonDerivative · entry 1

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: 100,785

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 $64.57 to $65.44. 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: 0001127602-21-006400 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,078,878

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

F8 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,040,952 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: 0001127602-21-006400 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,078,978

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

F6 · price: The price reported is the weighted average price of multiple transactions ranging from $67.37 to $68.34. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F7 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,041,052 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: 0001127602-21-006400 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,084,189

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 $66.36 to $67.36. 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 37,926 restricted stock units and 1,046,263 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: 0001127602-21-006400 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,089,487

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 $65.32 to $66.21. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F3 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,051,561 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: 0001127602-21-005565 · form4.xml · nonDerivative · entry 2

KURLAND FAMILY INVESTMENTS, LLC · CIK 0001576057 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,523,240

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

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $62.79 to $63.50. 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: 0001127602-21-005565 · form4.xml · nonDerivative · entry 1

KURLAND FAMILY INVESTMENTS, LLC · CIK 0001576057 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,547,970

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 $61.78 to $62.78. 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: 0001127602-21-005012 · form4.xml · nonDerivative · entry 2

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 363,519

F3 · shares: The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of the Issuer during the fourth quarter of 2020. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934.

F4 · balance_after: The reported amount consists of 4,236 restricted stock units and 359,283 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: 0001127602-21-005017 · form4.xml · nonDerivative · entry 1

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,975

F1 · shares: The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of the Issuer during the fourth quarter of 2020. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934.

F2 · balance_after: The reported amount consists of 4,236 restricted stock units and 163,739 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: 0001127602-21-003542 · form4.xml · derivative · entry 7

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,735

Underlying: Common Stock · 11,469 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.

F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan.

F6 · derivative.underlying_shares: This nonstatutory stock option to purchase 17,204 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each March 9, 2019, 2020 and 2021, subject to the Reporting Person's continued service through each date.

SEC source: 0001127602-21-003542 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,761

F3 · 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 $57.82 to $58.80. 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 11,926 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: 0001127602-21-003542 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,230

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

F1 · shares: The transaction reported was effected pursuant to a 10b5-1 plan.

F2 · balance_after: The reported amount consists of 11,926 restricted stock units and 28,304 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.