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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
November 02, 2020 Filed Nov 3, 2020 17:30 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 3,446 $17.52 $60,373.92
Disclosure

SEC source: 0001127602-20-028045 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,207

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 12,286 restricted stock units and 19,921 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
October 29, 2020 Filed Oct 29, 2020 18:51 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,000 $51.22 $51,220.00
Disclosure

SEC source: 0001127602-20-027674 · 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: 7,750,990

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 $50.81 to $51.77. 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
October 28, 2020 Filed Oct 29, 2020 18:51 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 4,801 $52.94 $254,164.94
Disclosure

SEC source: 0001127602-20-027674 · 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: 7,751,990

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 $52.61 to $53.44. 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
October 28, 2020 Filed Oct 29, 2020 18:51 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 10,199 $52.07 $531,061.93
Disclosure

SEC source: 0001127602-20-027674 · 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: 7,756,791

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 $51.54 to $52.54. 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
October 27, 2020 Filed Oct 29, 2020 18:51 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 600 $54.86 $32,916.00
Disclosure

SEC source: 0001127602-20-027674 · 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: 7,766,990

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 $54.565 to $55.03. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
October 27, 2020 Filed Oct 29, 2020 18:51 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,333 $53.93 $503,328.69
Disclosure

SEC source: 0001127602-20-027674 · 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: 7,767,590

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 $53.54 to $54.525. 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
October 27, 2020 Filed Oct 29, 2020 18:51 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,067 $53.13 $269,209.71
Disclosure

SEC source: 0001127602-20-027674 · 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: 7,776,923

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 $52.52 to $53.52. 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
October 23, 2020 Filed Oct 26, 2020 17:01 UTC
Walker David MChief Risk Officer
SaleCommon Stock 100 $58.81 $5,881.00
Disclosure

SEC source: 0001127602-20-027527 · 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: 143,085

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

Read SEC document
October 23, 2020 Filed Oct 26, 2020 17:01 UTC
Walker David MChief Risk Officer
SaleCommon Stock 5,373 $58.03 $311,797.88
Disclosure

SEC source: 0001127602-20-027527 · 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: 143,185

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 $57.56 to $58.39. 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
October 23, 2020 Filed Oct 26, 2020 17:01 UTC
Walker David MChief Risk Officer
SaleCommon Stock 4,527 $57.19 $258,906.37
Disclosure

SEC source: 0001127602-20-027527 · 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: 148,558

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 $56.56 to $57.55. 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
October 22, 2020 Filed Oct 26, 2020 17:01 UTC
Walker David MChief Risk Officer
SaleCommon Stock 184 $57.99 $10,669.99
Disclosure

SEC source: 0001127602-20-027527 · 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: 153,085

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 $57.98 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.

Read SEC document
October 22, 2020 Filed Oct 26, 2020 17:01 UTC
Walker David MChief Risk Officer
SaleCommon Stock 3,500 $57.29 $200,503.80
Disclosure

SEC source: 0001127602-20-027527 · 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: 153,269

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 $56.96 to $57.87. 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.

Read SEC document
October 22, 2020 Filed Oct 26, 2020 17:01 UTC
Walker David MChief Risk Officer
SaleCommon Stock 6,316 $56.30 $355,569.33
Disclosure

SEC source: 0001127602-20-027527 · 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: 156,769

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 $55.84 to $56.83. 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
October 15, 2020 Filed Oct 15, 2020 18:39 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 600 $66.82 $40,092.00
Disclosure

SEC source: 0001127602-20-026988 · 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: 7,781,990

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 $66.78 to $66.89. 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
October 15, 2020 Filed Oct 15, 2020 18:39 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 400 $66.22 $26,488.00
Disclosure

SEC source: 0001127602-20-026988 · 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: 7,782,590

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 $65.68 to $66.49. 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.

Read SEC document
October 14, 2020 Filed Oct 15, 2020 18:39 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,800 $67.15 $389,470.00
Disclosure

SEC source: 0001127602-20-026988 · 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: 7,782,990

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 $66.81 to $67.70. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
October 14, 2020 Filed Oct 15, 2020 18:39 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,200 $66.27 $609,684.00
Disclosure

SEC source: 0001127602-20-026988 · 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: 7,788,790

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 $65.80 to $66.80. 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
October 13, 2020 Filed Oct 15, 2020 18:39 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 3,290 $66.29 $218,094.10
Disclosure

SEC source: 0001127602-20-026988 · 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: 7,797,990

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 $66.07 to $66.52. 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
October 13, 2020 Filed Oct 15, 2020 18:39 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 11,710 $65.73 $769,698.30
Disclosure

SEC source: 0001127602-20-026988 · 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: 7,801,280

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 $65.06 to $66.06. 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.

Read SEC document
October 08, 2020 Filed Oct 9, 2020 17:03 UTC
Walker David MChief Risk Officer
SaleCommon Stock 2,030 $61.38 $124,609.93
Disclosure

SEC source: 0001127602-20-026755 · 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: 163,085

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 $61.26 to $61.61. 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
October 08, 2020 Filed Oct 9, 2020 17:03 UTC
Walker David MChief Risk Officer
SaleCommon Stock 4,470 $60.74 $271,503.78
Disclosure

SEC source: 0001127602-20-026755 · 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: 165,115

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 $60.26 to $61.225. 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
October 08, 2020 Filed Oct 9, 2020 17:03 UTC
Walker David MChief Risk Officer
SaleCommon Stock 3,500 $59.90 $209,647.90
Disclosure

SEC source: 0001127602-20-026755 · 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: 169,585

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 $59.24 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
October 08, 2020 Filed Oct 9, 2020 20:54 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 3,500 $61.40 $214,900.00
Disclosure

SEC source: 0001127602-20-026753 · form4.xml · nonDerivative · entry 5

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,183,878

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 $61.225 to $61.63. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F11 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,145,952 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
October 08, 2020 Filed Oct 9, 2020 20:54 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 5,900 $60.82 $358,838.00
Disclosure

SEC source: 0001127602-20-026753 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,187,378

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 $60.31 to $61.22. 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 1,149,452 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
October 08, 2020 Filed Oct 9, 2020 20:54 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 5,600 $59.89 $335,384.00
Disclosure

SEC source: 0001127602-20-026753 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,193,278

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 $59.24 to $60.21. 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.

F7 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,155,352 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
October 07, 2020 Filed Oct 9, 2020 17:03 UTC
Walker David MChief Risk Officer
SaleCommon Stock 110 $60.42 $6,646.10
Disclosure

SEC source: 0001127602-20-026755 · 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: 173,085

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 $60.41 to $60.42. 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
October 07, 2020 Filed Oct 9, 2020 17:03 UTC
Walker David MChief Risk Officer
SaleCommon Stock 7,490 $60.00 $449,391.01
Disclosure

SEC source: 0001127602-20-026755 · 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: 173,195

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 $59.37 to $60.36. 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.

Read SEC document
October 07, 2020 Filed Oct 9, 2020 17:03 UTC
Walker David MChief Risk Officer
SaleCommon Stock 2,400 $58.96 $141,502.56
Disclosure

SEC source: 0001127602-20-026755 · 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: 180,685

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 $58.36 to $59.35. 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
October 07, 2020 Filed Oct 9, 2020 20:54 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 10,600 $60.04 $636,424.00
Disclosure

SEC source: 0001127602-20-026753 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,198,878

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 $59.47 to $60.43. 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 1,160,952 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
October 07, 2020 Filed Oct 9, 2020 20:54 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 4,400 $59.07 $259,908.00
Disclosure

SEC source: 0001127602-20-026753 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,209,478

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 $58.42 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 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 1,171,552 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
October 01, 2020 Filed Oct 2, 2020 18:29 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 9,225 $0.00 Strike: $17.52 $0.00
Disclosure

SEC source: 0001127602-20-026395 · form4.xml · derivative · entry 9

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,446

Underlying: Common Stock · 9,225 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.

F10 · derivative.underlying_shares: This nonstatutory stock option to purchase 23,829 shares of Class A 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
October 01, 2020 Filed Oct 2, 2020 18:29 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 400 $59.02 $23,609.00
Disclosure

SEC source: 0001127602-20-026395 · 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

F3 · 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 $58.95 to $59.14. 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.

F9 · 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
October 01, 2020 Filed Oct 2, 2020 18:29 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 3,700 $58.51 $216,498.84
Disclosure

SEC source: 0001127602-20-026395 · form4.xml · nonDerivative · entry 3

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,161

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 $57.95 to $58.87. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F7 · balance_after: The reported amount consists of 12,286 restricted stock units and 16,875 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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October 01, 2020 Filed Oct 2, 2020 18:29 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 5,125 $57.29 $293,603.56
Disclosure

SEC source: 0001127602-20-026395 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,861

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 $56.90 to $57.86. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F5 · balance_after: The reported amount consists of 12,286 restricted stock units and 20,575 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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October 01, 2020 Filed Oct 2, 2020 18:29 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 9,225 $17.52 $161,622.00
Disclosure

SEC source: 0001127602-20-026395 · 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 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.

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October 01, 2020 Filed Oct 2, 2020 22:33 UTC SaleCommon Stock 200 $59.09 $11,817.00
Disclosure

SEC source: 0001127602-20-026399 · form4.xml · nonDerivative · entry 3

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Mazzella Family Irrevocable Trust

Disclosed balance after: 152,031

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 $59.04 to $59.13. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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October 01, 2020 Filed Oct 2, 2020 22:33 UTC SaleCommon Stock 12,118 $58.56 $709,660.38
Disclosure

SEC source: 0001127602-20-026399 · form4.xml · nonDerivative · entry 2

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Mazzella Family Irrevocable Trust

Disclosed balance after: 152,231

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 $58.00 to $58.955. 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.

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October 01, 2020 Filed Oct 2, 2020 22:33 UTC SaleCommon Stock 5,682 $57.66 $327,630.37
Disclosure

SEC source: 0001127602-20-026399 · form4.xml · nonDerivative · entry 1

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Mazzella Family Irrevocable Trust

Disclosed balance after: 164,349

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 $56.99 to $57.98. 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.

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September 28, 2020 Filed Sep 28, 2020 18:25 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 500 $58.81 $29,405.00
Disclosure

SEC source: 0001127602-20-025808 · 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: 7,812,990

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 $58.66 to $59.94. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

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September 28, 2020 Filed Sep 28, 2020 18:25 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 500 $58.24 $29,120.00
Disclosure

SEC source: 0001127602-20-025808 · 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: 7,813,490

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 $57.56 to $58.53. 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.

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September 25, 2020 Filed Sep 28, 2020 18:25 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 600 $56.34 $33,804.00
Disclosure

SEC source: 0001127602-20-025808 · 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: 7,813,990

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 $56.32 to $56.34. 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.

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September 25, 2020 Filed Sep 28, 2020 18:25 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 14,400 $55.75 $802,800.00
Disclosure

SEC source: 0001127602-20-025808 · 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: 7,814,590

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 $55.30 to $56.18. 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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September 24, 2020 Filed Sep 28, 2020 18:25 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 200 $56.39 $11,278.00
Disclosure

SEC source: 0001127602-20-025808 · 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: 7,828,990

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

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September 24, 2020 Filed Sep 28, 2020 18:25 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,002 $55.69 $501,321.38
Disclosure

SEC source: 0001127602-20-025808 · 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: 7,829,190

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 $55.35 to $56.33. 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.

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September 24, 2020 Filed Sep 28, 2020 18:25 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,798 $55.15 $319,759.70
Disclosure

SEC source: 0001127602-20-025808 · 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: 7,838,192

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 $54.34 to $55.34. 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.

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September 18, 2020 Filed Sep 21, 2020 16:56 UTC
Walker David MChief Risk Officer
SaleCommon Stock 1,000 $60.02 $60,017.00
Disclosure

SEC source: 0001127602-20-025505 · 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: 183,085

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 $59.89 to $60.09. 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.

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September 18, 2020 Filed Sep 21, 2020 16:56 UTC
Walker David MChief Risk Officer
SaleCommon Stock 5,742 $59.25 $340,205.46
Disclosure

SEC source: 0001127602-20-025505 · 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: 184,085

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 $58.83 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.

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September 18, 2020 Filed Sep 21, 2020 16:56 UTC
Walker David MChief Risk Officer
SaleCommon Stock 3,258 $58.46 $190,462.35
Disclosure

SEC source: 0001127602-20-025505 · 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: 189,827

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 $57.83 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 Common Stock and the prices at which the transactions were effected.

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September 17, 2020 Filed Sep 18, 2020 20:38 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 3,100 $57.96 $179,676.00
Disclosure

SEC source: 0001127602-20-025442 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,213,878

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 $57.65 to $58.32. 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 1,175,952 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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September 17, 2020 Filed Sep 18, 2020 20:38 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 11,900 $57.21 $680,799.00
Disclosure

SEC source: 0001127602-20-025442 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,216,978

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 $56.62 to $57.57. 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 1,179,052 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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.