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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
August 06, 2020 Filed Aug 10, 2020 18:36 UTC
Walker David MChief Risk Officer
SaleCommon Stock 1,100 $50.99 $56,093.95
Disclosure

SEC source: 0001127602-20-023299 · 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: 253,085

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 $50.78 to $51.25. 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.

Read SEC document
August 06, 2020 Filed Aug 10, 2020 18:36 UTC
Walker David MChief Risk Officer
SaleCommon Stock 8,900 $50.25 $447,204.53
Disclosure

SEC source: 0001127602-20-023299 · 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: 254,185

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 $49.76 to $50.70. 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
August 05, 2020 Filed Aug 5, 2020 17:23 UTC
Grogin JeffreyChief Enterprise Ops Officer
GiftCommon Stock 12,193 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-022941 · form4.xml · nonDerivative · entry 4

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · JBG Children's Trust utd 12/31/2000

Disclosed balance after: 21,000

F7 · shares: Represents a bona fide gift of shares of Common Stock.

Read SEC document
August 03, 2020 Filed Aug 5, 2020 17:23 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 1,933 $0.00 Strike: $17.52 $0.00
Disclosure

SEC source: 0001127602-20-022941 · form4.xml · derivative · entry 9

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,896

Underlying: Common Stock · 1,933 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
August 03, 2020 Filed Aug 5, 2020 17:23 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 7,292 $0.00 Strike: $17.26 $0.00
Disclosure

SEC source: 0001127602-20-022941 · form4.xml · derivative · entry 8

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,292 shares

Expires 2024-02-25

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 28,216 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of February 26, 2015, 2016 and 2017, subject to the Reporting Person's continued service through each date.

Read SEC document
August 03, 2020 Filed Aug 5, 2020 17:23 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 9,225 $48.00 $442,754.80
Disclosure

SEC source: 0001127602-20-022941 · 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

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 $47.74 to $48.24. 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 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
August 03, 2020 Filed Aug 5, 2020 17:23 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 1,933 $17.52 $33,866.16
Disclosure

SEC source: 0001127602-20-022941 · 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
August 03, 2020 Filed Aug 5, 2020 17:23 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 7,292 $17.26 $125,859.92
Disclosure

SEC source: 0001127602-20-022941 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,053

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 23,767 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
August 03, 2020 Filed Aug 5, 2020 21:27 UTC SaleCommon Stock 2,265 $48.83 $110,593.16
Disclosure

SEC source: 0001127602-20-022944 · 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: 188,031

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 $48.77 to $48.90. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

Read SEC document
August 03, 2020 Filed Aug 5, 2020 21:27 UTC SaleCommon Stock 15,735 $48.29 $759,784.93
Disclosure

SEC source: 0001127602-20-022944 · 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: 190,296

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 $47.76 to $48.75. 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.

Read SEC document
July 31, 2020 Filed Jul 31, 2020 18:31 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,800 $48.23 $86,814.00
Disclosure

SEC source: 0001127602-20-022434 · 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: 7,965,190

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 $48.13 to $48.36. 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
July 31, 2020 Filed Jul 31, 2020 18:31 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 13,200 $47.64 $628,848.00
Disclosure

SEC source: 0001127602-20-022434 · 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: 7,966,990

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 $47.11 to $48.11. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
July 30, 2020 Filed Jul 31, 2020 18:31 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 4,000 $48.60 $194,400.00
Disclosure

SEC source: 0001127602-20-022434 · 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: 7,980,190

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 $48.22 to $48.95. 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
July 30, 2020 Filed Jul 31, 2020 18:31 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,300 $47.62 $442,866.00
Disclosure

SEC source: 0001127602-20-022434 · 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: 7,984,190

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 $47.15 to $48.135. 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
July 30, 2020 Filed Jul 31, 2020 18:31 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,700 $46.56 $79,152.00
Disclosure

SEC source: 0001127602-20-022434 · 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: 7,993,490

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

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $46.09 to $47.07. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
July 29, 2020 Filed Jul 31, 2020 18:31 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 2,855 $46.94 $134,013.70
Disclosure

SEC source: 0001127602-20-022434 · 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: 7,995,190

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 $46.865 to $47.105. 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
July 29, 2020 Filed Jul 31, 2020 18:31 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 12,145 $46.48 $564,499.60
Disclosure

SEC source: 0001127602-20-022434 · 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: 7,998,045

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 $45.86 to $46.48. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
July 22, 2020 Filed Jul 23, 2020 00:28 UTC SaleCommon Stock 3,190 $44.66 $142,464.12
Disclosure

SEC source: 0001127602-20-022011 · form4.xml · nonDerivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,802

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 $44.12 to $44.98. 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.

F7 · balance_after: The reported amount consists of 4,236 restricted stock units and 307,566 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

Read SEC document
July 22, 2020 Filed Jul 23, 2020 17:29 UTC
Walker David MChief Risk Officer
SaleCommon Stock 5,000 $44.71 $223,565.50
Disclosure

SEC source: 0001127602-20-022051 · 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: 268,085

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 $44.42 to $45.02. 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
July 22, 2020 Filed Jul 23, 2020 17:27 UTC SaleCommon Stock 5,000 $44.69 $223,450.00
Disclosure

SEC source: 0001127602-20-022049 · form4.xml · nonDerivative · entry 3

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · The McCallion Family Trust dated 12/21/98

Disclosed balance after: 128,606

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 $44.41 to $45.00. 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
July 22, 2020 Filed Aug 10, 2020 18:36 UTC
Walker David MChief Risk Officer
SaleCommon Stock 5,000 $44.71 $223,565.50
Disclosure

SEC source: 0001127602-20-023299 · 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: 263,085

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 $44.42 to $45.02. 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
July 21, 2020 Filed Jul 23, 2020 00:28 UTC SaleCommon Stock 3,095 $44.16 $136,687.27
Disclosure

SEC source: 0001127602-20-022011 · form4.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,992

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 $44.00 to $44.44. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F5 · balance_after: The reported amount consists of 4,236 restricted stock units and 310,756 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

Read SEC document
July 21, 2020 Filed Jul 23, 2020 17:29 UTC
Walker David MChief Risk Officer
SaleCommon Stock 300 $44.48 $13,343.01
Disclosure

SEC source: 0001127602-20-022051 · 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: 273,085

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 $44.46 to $44.49. 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
July 21, 2020 Filed Jul 23, 2020 17:29 UTC
Walker David MChief Risk Officer
SaleCommon Stock 9,700 $43.96 $426,397.45
Disclosure

SEC source: 0001127602-20-022051 · 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: 273,385

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 $43.39 to $44.38. 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
July 21, 2020 Filed Jul 23, 2020 17:27 UTC SaleCommon Stock 32 $44.44 $1,422.08
Disclosure

SEC source: 0001127602-20-022049 · form4.xml · nonDerivative · entry 2

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · The McCallion Family Trust dated 12/21/98

Disclosed balance after: 133,606

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

Read SEC document
July 21, 2020 Filed Jul 23, 2020 17:27 UTC SaleCommon Stock 4,968 $43.94 $218,315.28
Disclosure

SEC source: 0001127602-20-022049 · form4.xml · nonDerivative · entry 1

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · The McCallion Family Trust dated 12/21/98

Disclosed balance after: 133,638

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 $43.40 to $44.39. 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
July 20, 2020 Filed Jul 23, 2020 00:28 UTC SaleCommon Stock 13,615 $44.04 $599,574.65
Disclosure

SEC source: 0001127602-20-022011 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,087

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 $44.00 to $44.18. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F3 · balance_after: The reported amount consists of 4,236 restricted stock units and 313,851 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

Read SEC document
July 17, 2020 Filed Jul 18, 2020 00:11 UTC SaleCommon Stock 100 $44.01 $4,401.00
Disclosure

SEC source: 0001127602-20-021784 · form4.xml · nonDerivative · entry 8

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,702

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

F9 · balance_after: The reported amount consists of 4,236 restricted stock units and 327,466 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

Read SEC document
July 17, 2020 Filed Jul 18, 2020 00:11 UTC SaleCommon Stock 16,289 $43.52 $708,890.76
Disclosure

SEC source: 0001127602-20-021784 · form4.xml · nonDerivative · entry 7

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,802

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 $43.00 to $43.89. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

Read SEC document
July 17, 2020 Filed Jul 18, 2020 00:15 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 6,300 $43.80 $275,923.62
Disclosure

SEC source: 0001127602-20-021786 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,273,878

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 $43.655 to $44.07. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F6 · balance_after: The reported amount consists of 37,926 restricted stock units and 1,235,952 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
July 17, 2020 Filed Jul 18, 2020 00:15 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 8,700 $43.35 $377,142.39
Disclosure

SEC source: 0001127602-20-021786 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,280,178

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 $42.65 to $43.65. 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
July 16, 2020 Filed Jul 18, 2020 00:11 UTC SaleCommon Stock 3,711 $43.03 $159,674.31
Disclosure

SEC source: 0001127602-20-021784 · form4.xml · nonDerivative · entry 6

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,091

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 $43.00 to $43.06. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

Read SEC document
July 16, 2020 Filed Jul 18, 2020 00:15 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 7,099 $42.92 $304,689.08
Disclosure

SEC source: 0001127602-20-021786 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,288,878

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 $42.75 to $43.25. 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.

Read SEC document
July 16, 2020 Filed Jul 18, 2020 00:15 UTC
SPECTOR DAVIDDirector · President & CEO
SaleCommon Stock 7,901 $42.46 $335,476.46
Disclosure

SEC source: 0001127602-20-021786 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,295,977

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 $41.74 to $42.74. 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.

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July 15, 2020 Filed Jul 15, 2020 19:12 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 2,398 $42.50 $101,915.00
Disclosure

SEC source: 0001127602-20-021583 · 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: 8,010,190

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 $42.43 to $42.73. 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.

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July 15, 2020 Filed Jul 15, 2020 19:12 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 12,602 $42.01 $529,410.02
Disclosure

SEC source: 0001127602-20-021583 · 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: 8,012,588

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 $41.42 to $42.40. 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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July 15, 2020 Filed Jul 18, 2020 00:11 UTC SaleCommon Stock 20,000 $42.23 $844,568.00
Disclosure

SEC source: 0001127602-20-021784 · form4.xml · nonDerivative · entry 5

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 351,802

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 $42.00 to $42.75. 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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July 15, 2020 Filed Jul 18, 2020 00:11 UTC SaleCommon Stock 3,812 $42.53 $162,130.84
Disclosure

SEC source: 0001127602-20-021784 · form4.xml · nonDerivative · entry 4

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,802

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 $42.48 to $42.75. 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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July 15, 2020 Filed Jul 18, 2020 00:11 UTC SaleCommon Stock 16,188 $42.06 $680,902.89
Disclosure

SEC source: 0001127602-20-021784 · form4.xml · nonDerivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,614

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 $41.475 to $42.47. 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.

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July 15, 2020 Filed Jul 18, 2020 00:11 UTC SaleCommon Stock 1,400 $42.59 $59,630.06
Disclosure

SEC source: 0001127602-20-021784 · form4.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,802

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 $42.53 to $42.76. 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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July 15, 2020 Filed Jul 18, 2020 00:11 UTC SaleCommon Stock 18,600 $42.11 $783,277.62
Disclosure

SEC source: 0001127602-20-021784 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 393,202

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 $41.53 to $42.51. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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July 14, 2020 Filed Jul 15, 2020 19:12 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 15,000 $40.10 $601,507.50
Disclosure

SEC source: 0001127602-20-021583 · 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: 8,025,190

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 $39.60 to $40.41. 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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July 13, 2020 Filed Jul 15, 2020 19:12 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,300 $41.41 $219,473.00
Disclosure

SEC source: 0001127602-20-021583 · 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: 8,040,190

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 $41.27 to $41.41. 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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July 13, 2020 Filed Jul 15, 2020 19:12 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,700 $40.93 $397,021.00
Disclosure

SEC source: 0001127602-20-021583 · 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: 8,045,490

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 $40.26 to $40.93. 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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July 09, 2020 Filed Jul 10, 2020 16:21 UTC
Walker David MChief Risk Officer
SaleCommon Stock 10,000 $40.07 $400,654.00
Disclosure

SEC source: 0001127602-20-021336 · 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: 283,085

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 $39.45 to $40.44. 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.

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July 08, 2020 Filed Jul 9, 2020 21:42 UTC SaleCommon Stock 5,000 $40.05 $200,250.00
Disclosure

SEC source: 0001104659-20-082476 · a4.xml · nonDerivative · entry 3

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · The McCallion Family Trust dated 12/21/98

Disclosed balance after: 138,606

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 $39.685 to $40.645. 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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July 08, 2020 Filed Jul 10, 2020 16:21 UTC
Walker David MChief Risk Officer
SaleCommon Stock 1,027 $40.62 $41,713.66
Disclosure

SEC source: 0001127602-20-021336 · 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: 293,085

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 $40.55 to $40.75. 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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July 08, 2020 Filed Jul 10, 2020 16:21 UTC
Walker David MChief Risk Officer
SaleCommon Stock 8,973 $39.99 $358,812.32
Disclosure

SEC source: 0001127602-20-021336 · 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: 294,112

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 $39.51 to $40.50. 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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July 07, 2020 Filed Jul 9, 2020 21:42 UTC SaleCommon Stock 100 $40.80 $4,080.00
Disclosure

SEC source: 0001104659-20-082476 · a4.xml · nonDerivative · entry 2

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · The McCallion Family Trust dated 12/21/98

Disclosed balance after: 143,606

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

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July 07, 2020 Filed Jul 9, 2020 21:42 UTC SaleCommon Stock 4,900 $40.21 $197,029.00
Disclosure

SEC source: 0001104659-20-082476 · a4.xml · nonDerivative · entry 1

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · The McCallion Family Trust dated 12/21/98

Disclosed balance after: 143,706

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 $39.72 to $40.57. 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.

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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.