Tapewire

NYSE · USD

PFSI

PennyMac Financial Services, Inc.

Export transactions ↓
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

JSON API
Reset

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
December 09, 2020 Filed Dec 11, 2020 18:07 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 12,265 $58.82 $721,427.30
Disclosure

SEC source: 0001127602-20-031214 · 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: 7,676,725

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 $58.32 to $59.31. 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.

Read SEC document
December 08, 2020 Filed Dec 9, 2020 17:12 UTC
Jones DougChief Mtge Bnkg Ofcr
SaleCommon Stock 15,000 $58.80 $882,031.50
Disclosure

SEC source: 0001127602-20-031008 · form4.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: 66,192

F1 · price: The price reported is the weighted average price of multiple transactions ranging from $58.40 to $59.04. 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 03, 2020 Filed Dec 4, 2020 21:57 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 8,307 $60.28 $500,745.96
Disclosure

SEC source: 0001127602-20-030615 · form4.xml · nonDerivative · entry 5

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,123,878

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

F10 · price: The price reported is the weighted average price of multiple transactions ranging from $59.91 to $60.85. 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.

F11 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,123,878 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 03, 2020 Filed Dec 4, 2020 21:57 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 6,693 $59.55 $398,568.15
Disclosure

SEC source: 0001127602-20-030615 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,132,185

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 $58.90 to $59.90. 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 1,094,259 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 02, 2020 Filed Dec 4, 2020 21:57 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 3,163 $60.49 $191,329.87
Disclosure

SEC source: 0001127602-20-030615 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,138,878

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 $60.37 to $60.49. 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 1,100,952 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
December 02, 2020 Filed Dec 4, 2020 21:57 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 5,297 $59.83 $316,919.51
Disclosure

SEC source: 0001127602-20-030615 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,142,041

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 $59.35 to $60.35. 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.

F5 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,104,115 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 02, 2020 Filed Dec 4, 2020 21:57 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 6,540 $58.98 $385,729.20
Disclosure

SEC source: 0001127602-20-030615 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,147,338

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 $58.31 to $59.31. 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.

F3 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,109,412 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 02, 2020 Filed Dec 4, 2020 17:12 UTC
Jones DougChief Mtge Bnkg Ofcr
SaleCommon Stock 15,000 $59.66 $894,948.00
Disclosure

SEC source: 0001127602-20-030621 · form4.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: 81,192

F1 · price: The price reported is the weighted average price of multiple transactions ranging from $59.40 to $60.13. 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.

Read SEC document
December 01, 2020 Filed Dec 2, 2020 16:57 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 9,225 $0.00 Strike: $18.05 $0.00
Disclosure

SEC source: 0001127602-20-030310 · form4.xml · derivative · entry 8

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,502

Underlying: Common Stock · 9,225 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.

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

F8 · 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
December 01, 2020 Filed Dec 2, 2020 16:57 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 3,225 $59.11 $190,634.59
Disclosure

SEC source: 0001127602-20-030310 · form4.xml · nonDerivative · entry 3

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.

F6 · price: The price reported is the weighted average price of multiple transactions ranging from $58.88 to $59.42. 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.

F7 · 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
December 01, 2020 Filed Dec 2, 2020 16:57 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 6,000 $58.35 $350,108.40
Disclosure

SEC source: 0001127602-20-030310 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,986

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 $57.83 to $58.82. 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 26,060 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 01, 2020 Filed Dec 2, 2020 16:57 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 9,225 $18.05 $166,511.25
Disclosure

SEC source: 0001127602-20-030310 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,986

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 26,060 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
November 24, 2020 Filed Nov 24, 2020 18:54 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,000 $57.33 $57,330.00
Disclosure

SEC source: 0001127602-20-029962 · 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: 7,688,990

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 $56.73 to $57.705. 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
November 23, 2020 Filed Nov 24, 2020 18:54 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 4,007 $58.29 $233,568.03
Disclosure

SEC source: 0001127602-20-029962 · 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: 7,689,990

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 $58.03 to $58.55. 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.

Read SEC document
November 23, 2020 Filed Nov 24, 2020 18:54 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 10,993 $57.49 $631,987.57
Disclosure

SEC source: 0001127602-20-029962 · 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: 7,693,997

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 $57.02 to $58.02. 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
November 23, 2020 Filed Nov 25, 2020 16:36 UTC
Jones DougChief Mtge Bnkg Ofcr
SaleCommon Stock 15,000 $57.61 $864,166.50
Disclosure

SEC source: 0001127602-20-030011 · form4.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: 96,192

F1 · price: The price reported is the weighted average price of multiple transactions ranging from $57.27 to $58.05. 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.

Read SEC document
November 20, 2020 Filed Nov 23, 2020 20:47 UTC SaleCommon Stock 8,000 $55.54 $444,301.60
Disclosure

SEC source: 0001127602-20-029892 · form4.xml · nonDerivative · entry 1

Kinsella Patrick · CIK 0001612388 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,046

F1 · price: The price reported is the weighted average price of multiple transactions ranging from $55.30 to $55.73. 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.

F2 · balance_after: The reported amount consists of 4,236 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.

Read SEC document
November 20, 2020 Filed Nov 24, 2020 18:54 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 2,000 $56.46 $112,920.00
Disclosure

SEC source: 0001127602-20-029962 · 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: 7,704,990

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 $56.32 to $56.74. 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
November 20, 2020 Filed Nov 24, 2020 18:54 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 13,000 $55.66 $723,580.00
Disclosure

SEC source: 0001127602-20-029962 · 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: 7,706,990

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 $55.26 to $56.17. 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
November 18, 2020 Filed Nov 19, 2020 17:53 UTC
Walker David MChief Risk Officer
SaleCommon Stock 6,700 $57.03 $382,127.13
Disclosure

SEC source: 0001127602-20-029621 · 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: 103,085

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 $56.83 to $57.42. 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
November 18, 2020 Filed Nov 19, 2020 17:53 UTC
Walker David MChief Risk Officer
SaleCommon Stock 3,300 $56.54 $186,588.93
Disclosure

SEC source: 0001127602-20-029621 · 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: 109,785

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 $55.83 to $56.82. 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
November 17, 2020 Filed Nov 19, 2020 17:53 UTC
Walker David MChief Risk Officer
SaleCommon Stock 5,308 $56.43 $299,553.26
Disclosure

SEC source: 0001127602-20-029621 · 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: 113,085

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 $56.21 to $56.85. 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
November 17, 2020 Filed Nov 19, 2020 17:53 UTC
Walker David MChief Risk Officer
SaleCommon Stock 4,692 $55.94 $262,474.70
Disclosure

SEC source: 0001127602-20-029621 · 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: 118,393

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 $55.21 to $56.19. 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
November 13, 2020 Filed Nov 16, 2020 21:58 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 3,100 $56.74 $175,894.00
Disclosure

SEC source: 0001127602-20-029151 · form4.xml · nonDerivative · entry 5

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,153,878

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 $56.49 to $56.99. 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 1,115,952 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
November 13, 2020 Filed Nov 16, 2020 21:58 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 11,900 $55.97 $666,043.00
Disclosure

SEC source: 0001127602-20-029151 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,156,978

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 $55.47 to $56.46. 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.

F8 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,119,052 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
November 12, 2020 Filed Nov 16, 2020 21:58 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 200 $57.28 $11,456.00
Disclosure

SEC source: 0001127602-20-029151 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,168,878

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

F6 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,130,952 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
November 12, 2020 Filed Nov 16, 2020 21:58 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 11,990 $56.75 $680,432.50
Disclosure

SEC source: 0001127602-20-029151 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,169,078

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 $56.25 to $57.25. 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 1,131,152 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
November 12, 2020 Filed Nov 16, 2020 21:58 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 2,810 $55.65 $156,376.50
Disclosure

SEC source: 0001127602-20-029151 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,181,068

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 $55.12 to $56.10. 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 1,143,142 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
November 11, 2020 Filed Nov 12, 2020 16:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 600 $56.31 $33,786.00
Disclosure

SEC source: 0001127602-20-028836 · form4.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 7,719,990

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

F10 · price: The price reported is the weighted average price of multiple transactions ranging from $56.03 to $56.61. 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
November 11, 2020 Filed Nov 12, 2020 16:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 400 $55.47 $22,188.00
Disclosure

SEC source: 0001127602-20-028836 · 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: 7,720,590

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 $54.97 to $55.92. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
November 10, 2020 Filed Nov 12, 2020 16:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,400 $55.86 $301,644.00
Disclosure

SEC source: 0001127602-20-028836 · 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: 7,720,990

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 $55.38 to $56.35. 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.

Read SEC document
November 10, 2020 Filed Nov 12, 2020 16:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,900 $55.05 $324,795.00
Disclosure

SEC source: 0001127602-20-028836 · 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: 7,726,390

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 $54.37 to $55.37. 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
November 10, 2020 Filed Nov 12, 2020 16:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 2,800 $53.83 $150,724.00
Disclosure

SEC source: 0001127602-20-028836 · 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: 7,732,290

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 $53.34 to $54.33. 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
November 10, 2020 Filed Nov 12, 2020 16:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 900 $52.65 $47,385.00
Disclosure

SEC source: 0001127602-20-028836 · 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: 7,735,090

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 $52.30 to $53.21. 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.

Read SEC document
November 09, 2020 Filed Nov 9, 2020 22:59 UTC GrantCommon Stock 374 $66.17 $24,747.58
Disclosure

SEC source: 0001127602-20-028517 · form4.xml · nonDerivative · entry 1

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 388,088

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 third 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 383,852 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
November 09, 2020 Filed Nov 9, 2020 23:01 UTC
NANJI FARHADDirector
GrantCommon Stock 373 $66.17 $24,681.41
Disclosure

SEC source: 0001127602-20-028521 · form4.xml · nonDerivative · entry 1

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,522

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 third 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 163,286 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
November 09, 2020 Filed Nov 12, 2020 16:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,200 $52.69 $63,228.00
Disclosure

SEC source: 0001127602-20-028836 · 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: 7,735,990

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 $52.48 to $52.78. 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.

Read SEC document
November 09, 2020 Filed Nov 12, 2020 16:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 7,350 $51.99 $382,126.50
Disclosure

SEC source: 0001127602-20-028836 · 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: 7,737,190

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 $51.44 to $52.44. 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.

Read SEC document
November 09, 2020 Filed Nov 12, 2020 16:53 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 6,450 $50.82 $327,789.00
Disclosure

SEC source: 0001127602-20-028836 · 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: 7,744,540

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 $50.40 to $51.34. 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.

Read SEC document
November 05, 2020 Filed Nov 6, 2020 17:23 UTC
Walker David MChief Risk Officer
SaleCommon Stock 2,000 $58.45 $116,907.80
Disclosure

SEC source: 0001127602-20-028405 · form4.xml · nonDerivative · entry 6

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: 123,085

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 $58.21 to $58.84. 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
November 05, 2020 Filed Nov 6, 2020 17:23 UTC
Walker David MChief Risk Officer
SaleCommon Stock 1,100 $57.71 $63,482.98
Disclosure

SEC source: 0001127602-20-028405 · 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: 125,085

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 $57.11 to $58.05. 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.

Read SEC document
November 05, 2020 Filed Nov 6, 2020 17:23 UTC
Walker David MChief Risk Officer
SaleCommon Stock 6,900 $56.64 $390,804.96
Disclosure

SEC source: 0001127602-20-028405 · 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: 126,185

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 $56.11 to $57.08. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
November 04, 2020 Filed Nov 6, 2020 17:23 UTC
Walker David MChief Risk Officer
SaleCommon Stock 2,494 $55.96 $139,570.72
Disclosure

SEC source: 0001127602-20-028405 · 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: 133,085

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 $55.87 to $56.23. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
November 04, 2020 Filed Nov 6, 2020 17:23 UTC
Walker David MChief Risk Officer
SaleCommon Stock 6,806 $55.59 $378,346.22
Disclosure

SEC source: 0001127602-20-028405 · 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: 135,579

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 $54.87 to $55.86. 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
November 04, 2020 Filed Nov 6, 2020 17:23 UTC
Walker David MChief Risk Officer
SaleCommon Stock 700 $54.34 $38,038.00
Disclosure

SEC source: 0001127602-20-028405 · 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: 142,385

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 $53.705 to $54.67. 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
November 02, 2020 Filed Nov 3, 2020 17:30 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 5,779 $0.00 Strike: $18.05 $0.00
Disclosure

SEC source: 0001127602-20-028045 · form4.xml · derivative · entry 10

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,727

Underlying: Common Stock · 5,779 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.

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

F10 · 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
November 02, 2020 Filed Nov 3, 2020 17:30 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 3,446 $0.00 Strike: $17.52 $0.00
Disclosure

SEC source: 0001127602-20-028045 · form4.xml · derivative · entry 9

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,446 shares

Expires 2025-03-02

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.

F9 · derivative.underlying_shares: This nonstatutory stock option to purchase 23,829 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 3, 2016, 2017 and 2018, subject to the Reporting Person's committed service through each date.

Read SEC document
November 02, 2020 Filed Nov 3, 2020 17:30 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 2,900 $51.67 $149,835.17
Disclosure

SEC source: 0001127602-20-028045 · form4.xml · nonDerivative · entry 4

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.

F7 · price: The price reported is the weighted average price of multiple transactions ranging from $51.50 to $51.94. 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 12,286 restricted stock units and 16,475 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
November 02, 2020 Filed Nov 3, 2020 17:30 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 6,325 $51.08 $323,077.21
Disclosure

SEC source: 0001127602-20-028045 · form4.xml · nonDerivative · entry 3

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,661

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 $50.50 to $51.47. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F6 · balance_after: The reported amount consists of 12,286 restricted stock units and 19,375 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
November 02, 2020 Filed Nov 3, 2020 17:30 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 5,779 $18.05 $104,310.95
Disclosure

SEC source: 0001127602-20-028045 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,986

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 12,286 restricted stock units and 25,700 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

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