Tapewire

NYSE · USD

PFSI

PennyMac Financial Services, Inc.

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Tapewire entity
4100
SEC CIK
0001745916
Parsed reports
752

Last 12 months

Inside the activity.

1 purchase rows · 38 sale rows

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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 22, 2021 Filed Jan 22, 2021 19:03 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,000 $59.45 $59,450.00
Disclosure

SEC source: 0001127602-21-002377 · form4.xml · nonDerivative · entry 5

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,564,990

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 $59.01 to $59.80. 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.

Read SEC document
January 21, 2021 Filed Jan 22, 2021 19:03 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,900 $62.12 $366,508.00
Disclosure

SEC source: 0001127602-21-002377 · form4.xml · nonDerivative · entry 4

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,565,990

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 $61.83 to $62.61. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 21, 2021 Filed Jan 22, 2021 19:03 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,100 $61.45 $559,195.00
Disclosure

SEC source: 0001127602-21-002377 · form4.xml · nonDerivative · entry 3

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,571,890

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 $60.81 to $61.81. 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.

Read SEC document
January 20, 2021 Filed Jan 22, 2021 19:03 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,800 $60.18 $589,764.00
Disclosure

SEC source: 0001127602-21-002377 · form4.xml · nonDerivative · entry 2

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,580,990

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 $59.72 to $60.585. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 20, 2021 Filed Jan 22, 2021 19:03 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,200 $59.37 $308,724.00
Disclosure

SEC source: 0001127602-21-002377 · form4.xml · nonDerivative · entry 1

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,590,790

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 $58.71 to $59.71. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 12, 2021 Filed Jan 13, 2021 22:31 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 900 $58.14 $52,326.00
Disclosure

SEC source: 0001127602-21-001607 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,093,878

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

F8 · price: The price reported is the weighted average price of multiple transactions ranging from $58.03 to $58.35. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F9 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,055,952 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 12, 2021 Filed Jan 13, 2021 22:31 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 14,100 $57.58 $811,878.00
Disclosure

SEC source: 0001127602-21-001607 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,094,778

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 $57.01 to $58.00. 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 1,056,852 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 22:31 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 4,300 $57.73 $248,239.00
Disclosure

SEC source: 0001127602-21-001607 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,108,878

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 $57.54 to $58.15. 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 1,070,952 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 11, 2021 Filed Jan 13, 2021 22:31 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 10,700 $57.06 $610,542.00
Disclosure

SEC source: 0001127602-21-001607 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,113,178

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 $56.53 to $57.53. 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 1,075,252 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 07, 2021 Filed Jan 7, 2021 18:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 700 $59.17 $41,419.00
Disclosure

SEC source: 0001127602-21-001225 · form4.xml · nonDerivative · entry 7

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,595,990

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

F8 · price: The price reported is the weighted average price of multiple transactions ranging from $58.87 to $59.51. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 07, 2021 Filed Jan 7, 2021 18:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 300 $58.34 $17,502.00
Disclosure

SEC source: 0001127602-21-001225 · form4.xml · nonDerivative · entry 6

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,596,690

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

F7 · price: The price reported is the weighted average price of multiple transactions ranging from $57.84 to $58.74. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 06, 2021 Filed Jan 7, 2021 18:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,200 $59.92 $71,904.00
Disclosure

SEC source: 0001127602-21-001225 · form4.xml · nonDerivative · entry 5

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,596,990

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 $59.76 to $60.23. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 06, 2021 Filed Jan 7, 2021 18:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 8,600 $59.10 $508,260.00
Disclosure

SEC source: 0001127602-21-001225 · form4.xml · nonDerivative · entry 4

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,598,190

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 $58.72 to $59.635. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 06, 2021 Filed Jan 7, 2021 18:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,200 $58.28 $303,056.00
Disclosure

SEC source: 0001127602-21-001225 · form4.xml · nonDerivative · entry 3

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,606,790

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 $57.59 to $58.59. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 05, 2021 Filed Jan 7, 2021 18:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 3,576 $61.96 $221,568.96
Disclosure

SEC source: 0001127602-21-001225 · form4.xml · nonDerivative · entry 2

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,611,990

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 $61.80 to $62.47. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 05, 2021 Filed Jan 7, 2021 18:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 11,424 $61.28 $700,062.72
Disclosure

SEC source: 0001127602-21-001225 · form4.xml · nonDerivative · entry 1

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,615,566

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 $60.77 to $61.69. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 6,019 $0.00 Strike: $22.92 $0.00
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · derivative · entry 15

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,038

Underlying: Common Stock · 6,019 shares

Expires 2029-03-14

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

F19 · derivative.underlying_shares: This nonstatutory stock option to purchase 18,057 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 15, 2020, 2021 and 2022, subject to the Reporting Person's continued service through each date.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 7,502 $0.00 Strike: $18.05 $0.00
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · derivative · entry 14

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,502 shares

Expires 2027-03-05

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.

F18 · derivative.underlying_shares: This nonstatutory stock option to purchase 22,506 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 6, 2018, 2019 and 2020, subject to the Reporting Person's committed service through each date.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 600 $66.27 $39,762.00
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 9

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,761

F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F17 · 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.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 800 $65.46 $52,370.56
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 8

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,361

F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F15 · price: The price reported is the weighted average price of multiple transactions ranging from $65.11 to $65.70. 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.

F16 · balance_after: The reported amount consists of 11,926 restricted stock units and 17,435 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 1,174 $64.58 $75,814.22
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 7

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,161

F4 · 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 $64.24 to $65.03. 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.

F14 · balance_after: The reported amount consists of 11,926 restricted stock units and 18,235 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 1,225 $63.70 $78,028.46
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 6

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,335

F4 · 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 $63.20 to $64.09. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F12 · balance_after: The reported amount consists of 11,926 restricted stock units and 19,409 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 3,400 $62.79 $213,470.70
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 5

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,560

F4 · 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 $62.10 to $63.07. 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.

F10 · balance_after: The reported amount consists of 11,926 restricted stock units and 20,634 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 2,670 $61.63 $164,559.04
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 4

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,960

F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F7 · price: The price reported is the weighted average price of multiple transactions ranging from $61.105 to $62.08. 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.

F8 · balance_after: The reported amount consists of 11,926 restricted stock units and 24,034 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 3,652 $60.63 $221,438.65
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 3

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,630

F4 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F5 · price: The price reported is the weighted average price of multiple transactions ranging from $60.10 to $61.07. 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.

F6 · balance_after: The reported amount consists of 11,926 restricted stock units and 26,704 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 6,019 $22.92 $137,955.48
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,282

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.

F3 · balance_after: The reported amount consists of 11,926 restricted stock units and 30,356 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
January 04, 2021 Filed Jan 5, 2021 17:07 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 7,502 $18.05 $135,411.10
Disclosure

SEC source: 0001127602-21-000702 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,263

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 24,337 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

Read SEC document
December 30, 2020 Filed Feb 10, 2021 18:04 UTC
Jones DougChief Mtge Bnkg Ofcr
GiftCommon Stock 5,500 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-005019 · form5.xml · nonDerivative · entry 1

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Indirect · The Jones Family Trust

Disclosed balance after: 20,692

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

Read SEC document
December 23, 2020 Filed Dec 23, 2020 19:04 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 100 $69.71 $6,971.00
Disclosure

SEC source: 0001127602-20-032312 · form4.xml · nonDerivative · entry 8

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,626,990

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

Read SEC document
December 23, 2020 Filed Dec 23, 2020 19:04 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 900 $68.71 $61,839.00
Disclosure

SEC source: 0001127602-20-032312 · form4.xml · nonDerivative · entry 7

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,627,090

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

F8 · price: The price reported is the weighted average price of multiple transactions ranging from $68.35 to $69.01. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
December 22, 2020 Filed Dec 23, 2020 19:04 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 2,258 $69.19 $156,231.02
Disclosure

SEC source: 0001127602-20-032312 · form4.xml · nonDerivative · entry 6

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,627,990

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

F7 · price: The price reported is the weighted average price of multiple transactions ranging from $68.945 to $69.59. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
December 22, 2020 Filed Dec 23, 2020 19:04 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 10,842 $68.36 $741,159.12
Disclosure

SEC source: 0001127602-20-032312 · form4.xml · nonDerivative · entry 5

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,630,248

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 $67.94 to $68.93. 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.

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December 22, 2020 Filed Dec 23, 2020 19:04 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,900 $67.36 $127,984.00
Disclosure

SEC source: 0001127602-20-032312 · form4.xml · nonDerivative · entry 4

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,641,090

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 $66.85 to $67.635. 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.

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December 21, 2020 Filed Dec 23, 2020 19:04 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,720 $66.77 $114,844.40
Disclosure

SEC source: 0001127602-20-032312 · form4.xml · nonDerivative · entry 3

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,642,990

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 $66.64 to $66.87. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

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December 21, 2020 Filed Dec 23, 2020 19:04 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,904 $65.98 $653,465.92
Disclosure

SEC source: 0001127602-20-032312 · form4.xml · nonDerivative · entry 2

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,644,710

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 $65.62 to $66.60. 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.

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December 21, 2020 Filed Dec 23, 2020 19:04 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 3,376 $65.25 $220,284.00
Disclosure

SEC source: 0001127602-20-032312 · form4.xml · nonDerivative · entry 1

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,654,614

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 $64.60 to $65.59. 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.

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December 21, 2020 Filed Feb 10, 2021 18:04 UTC
Jones DougChief Mtge Bnkg Ofcr
GiftCommon Stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-005019 · form5.xml · nonDerivative · entry 3

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Indirect · The Jones Family Trust

Disclosed balance after: 20,692

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

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December 17, 2020 Filed Feb 12, 2021 19:29 UTC
Grogin JeffreyChief Enterprise Ops Officer
GiftCommon Stock 4,630 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-005544 · form5.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Grogin Giving Fund

Disclosed balance after: 4,395

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

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December 16, 2020 Filed Feb 10, 2021 22:59 UTC GiftCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-005012 · form4.xml · nonDerivative · entry 1

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 363,088

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

F2 · balance_after: The reported amount consists of 4,236 restricted stock units and 358,852 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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December 16, 2020 Filed Feb 10, 2021 18:04 UTC
Jones DougChief Mtge Bnkg Ofcr
GiftCommon Stock 20,000 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-005019 · form5.xml · nonDerivative · entry 2

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Indirect · The Jones Family Trust

Disclosed balance after: 20,692

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

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December 14, 2020 Filed Dec 16, 2020 18:22 UTC
Fartaj VandadChief Investment Officer
GrantNonstatutory Stock Option (Right to Buy) · Derivative 54,024 $0.00 Strike: $59.68 $0.00
Disclosure

SEC source: 0001127602-20-031609 · form4.xml · derivative · entry 3

Fartaj Vandad · CIK 0001486360 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,024

Underlying: Common Stock · 54,024 shares

Expires 2030-12-13

F2 · derivative.underlying_shares: This nonstatutory stock option to purchase 54024 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in 1/3 increments on each of December 14, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse date.

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December 14, 2020 Filed Dec 16, 2020 18:20 UTC
Chang Andrew SChief Financial Officer
GrantNonstatutory Stock Option (Right to Buy) · Derivative 56,726 $0.00 Strike: $59.68 $0.00
Disclosure

SEC source: 0001127602-20-031607 · form4.xml · derivative · entry 2

Chang Andrew S · CIK 0001468932 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,726

Underlying: Common Stock · 56,726 shares

Expires 2030-12-13

F2 · derivative.underlying_shares: This nonstatutory stock option to purchase 56,726 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in one-third increments on each of December 14, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse date.

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December 14, 2020 Filed Dec 16, 2020 18:26 UTC
Walker David MChief Risk Officer
GrantNonstatutory Stock Option (Right to Buy) · Derivative 5,402 $0.00 Strike: $59.68 $0.00
Disclosure

SEC source: 0001127602-20-031613 · form4.xml · derivative · entry 3

Walker David M · CIK 0001468934 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,402

Underlying: Common Stock · 5,402 shares

Expires 2030-12-13

F2 · derivative.underlying_shares: This nonstatutory stock option to purchase 5,402 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in 1/3 increments on each of December 14, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse date.

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December 14, 2020 Filed Dec 16, 2020 23:19 UTC
SPECTOR DAVIDDirector · President & CEO
GrantNonstatutory Stock Option (Right to Buy) · Derivative 140,464 $0.00 Strike: $59.68 $0.00
Disclosure

SEC source: 0001127602-20-031605 · form4.xml · derivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,464

Underlying: Common Stock · 140,464 shares

Expires 2030-12-13

F2 · derivative.underlying_shares: This nonstatutory stock option to purchase 140,464 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in 1/3 increments on each of December 14, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse date.

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December 14, 2020 Filed Dec 16, 2020 18:24 UTC
Jones DougChief Mtge Bnkg Ofcr
GrantNonstatutory Stock Option (Right to Buy) · Derivative 54,024 $0.00 Strike: $59.68 $0.00
Disclosure

SEC source: 0001127602-20-031611 · form4.xml · derivative · entry 5

Jones Doug · CIK 0001544302 · Chief Mtge Bnkg Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,024

Underlying: Common Stock · 54,024 shares

Expires 2030-12-13

F2 · derivative.underlying_shares: This nonstatutory stock option to purchase 54,024 shares of Common Stock of the Issuer is fully vested but subject to certain transfer restrictions that will lapse in 1/3 increments on each of December 14, 2021, 2022 and 2023, subject to the Reporting Person's continued service through each lapse date.

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December 11, 2020 Filed Dec 11, 2020 18:07 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 48 $60.02 $2,880.96
Disclosure

SEC source: 0001127602-20-031214 · form4.xml · nonDerivative · entry 6

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,657,990

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

F7 · price: The price reported is the weighted average price of multiple transactions ranging from $60.01 to $60.05. 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.

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December 11, 2020 Filed Dec 11, 2020 18:07 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 952 $59.47 $56,615.44
Disclosure

SEC source: 0001127602-20-031214 · form4.xml · nonDerivative · entry 5

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,658,038

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 $59.00 to $60.00. 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.

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December 10, 2020 Filed Dec 11, 2020 18:07 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 2,682 $59.59 $159,820.38
Disclosure

SEC source: 0001127602-20-031214 · form4.xml · nonDerivative · entry 4

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,658,990

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 $59.51 to $59.69. 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.

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December 10, 2020 Filed Dec 11, 2020 18:07 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 12,318 $59.05 $727,377.90
Disclosure

SEC source: 0001127602-20-031214 · form4.xml · nonDerivative · entry 3

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,661,672

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 $58.50 to $59.50. 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.

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December 09, 2020 Filed Dec 11, 2020 18:07 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 2,735 $59.43 $162,541.05
Disclosure

SEC source: 0001127602-20-031214 · form4.xml · nonDerivative · entry 2

KURLAND STANFORD L · CIK 0001181595 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,673,990

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 $59.33 to $59.55. 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.

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