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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
July 01, 2020 Filed Jul 6, 2020 17:52 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 9,225 $0.00 Strike: $17.26 $0.00
Disclosure

SEC source: 0001127602-20-021219 · form4.xml · derivative · entry 7

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,292

Underlying: Common Stock · 9,225 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: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

Read SEC document
July 01, 2020 Filed Jul 6, 2020 17:52 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 9,225 $41.40 $381,944.52
Disclosure

SEC source: 0001127602-20-021219 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,761

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 $41.1750 to $41.74. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F4 · 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
July 01, 2020 Filed Jul 6, 2020 17:52 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 9,225 $17.26 $159,223.50
Disclosure

SEC source: 0001127602-20-021219 · 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: These shares of Common Stock were sold 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.

Read SEC document
July 01, 2020 Filed Jul 6, 2020 22:07 UTC SaleCommon Stock 18,000 $41.56 $748,168.20
Disclosure

SEC source: 0001127602-20-021222 · 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: 206,031

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 $41.15 to $41.81. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

Read SEC document
June 29, 2020 Filed Jun 29, 2020 21:16 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,100 $41.57 $212,007.00
Disclosure

SEC source: 0001104659-20-078254 · a4.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: 8,055,190

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 $41.14 to $42.01. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected

Read SEC document
June 29, 2020 Filed Jun 29, 2020 21:16 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,900 $40.61 $402,039.00
Disclosure

SEC source: 0001104659-20-078254 · a4.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: 8,060,290

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 $40.13 to $41.11. 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
June 26, 2020 Filed Jun 29, 2020 21:16 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,300 $42.58 $225,674.00
Disclosure

SEC source: 0001104659-20-078254 · a4.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: 8,070,190

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 $42.44 to $42.77. 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
June 26, 2020 Filed Jun 29, 2020 21:16 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,700 $42.08 $408,176.00
Disclosure

SEC source: 0001104659-20-078254 · a4.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: 8,075,490

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 $42.10 to $42.42. 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
June 25, 2020 Filed Jun 26, 2020 17:05 UTC SaleCommon Stock 3,900 $42.50 $165,734.40
Disclosure

SEC source: 0001127602-20-020457 · form4.xml · nonDerivative · entry 4

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 148,606

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 $42.21 to $42.78. 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
June 25, 2020 Filed Jun 26, 2020 17:05 UTC SaleCommon Stock 1,100 $41.96 $46,150.50
Disclosure

SEC source: 0001127602-20-020457 · 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: 152,506

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 $41.19 to $42.185. 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
June 25, 2020 Filed Jun 29, 2020 21:16 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 13,100 $42.45 $556,095.00
Disclosure

SEC source: 0001104659-20-078254 · a4.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: 8,085,190

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 $42.07 to $42.45. 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
June 25, 2020 Filed Jun 29, 2020 21:16 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,900 $41.74 $79,306.00
Disclosure

SEC source: 0001104659-20-078254 · a4.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: 8,098,290

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 $41.05 to $42.05. 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
June 24, 2020 Filed Jun 26, 2020 17:05 UTC SaleCommon Stock 2,300 $41.44 $95,318.90
Disclosure

SEC source: 0001127602-20-020457 · 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: 153,606

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 $41.01 to $41.96. 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
June 24, 2020 Filed Jun 26, 2020 17:05 UTC SaleCommon Stock 2,700 $40.44 $109,196.10
Disclosure

SEC source: 0001127602-20-020457 · 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: 155,906

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 $40.00 to $40.845. 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
June 23, 2020 Filed Jun 26, 2020 01:36 UTC
NANJI FARHADDirector
SaleCommon Stock 50,000 $41.34 $2,066,950.00
Disclosure

SEC source: 0001127602-20-020379 · form4.xml · nonDerivative · entry 2

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,571

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $41.33 to $41.53. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F3 · balance_after: The total shown in this Column 5 takes into account the transactions reported on Forms 4 filed on 2/12/2020, 2/27/2020 and 5/13/2020.

F4 · balance_after: The reported amount consists of 4,236 restricted stock units and 204,335 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
June 18, 2020 Filed Jun 19, 2020 16:53 UTC
Walker David MChief Risk Officer
SaleCommon Stock 900 $42.77 $38,489.40
Disclosure

SEC source: 0001127602-20-020101 · 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: 303,085

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 $42.64 to $42.90. 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.

Read SEC document
June 18, 2020 Filed Jun 19, 2020 16:53 UTC
Walker David MChief Risk Officer
SaleCommon Stock 9,100 $42.09 $382,991.70
Disclosure

SEC source: 0001127602-20-020101 · 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: 303,985

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 $41.55 to $42.54. 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
June 17, 2020 Filed Jun 19, 2020 16:53 UTC
Walker David MChief Risk Officer
SaleCommon Stock 1,700 $42.33 $71,959.30
Disclosure

SEC source: 0001127602-20-020101 · 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: 313,085

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 $42.16 to $42.675. 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
June 17, 2020 Filed Jun 19, 2020 16:53 UTC
Walker David MChief Risk Officer
SaleCommon Stock 8,300 $41.86 $347,404.80
Disclosure

SEC source: 0001127602-20-020101 · 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: 314,785

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

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $41.16 to $42.15. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
June 11, 2020 Filed Jun 11, 2020 19:14 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 6,200 $37.78 $234,236.00
Disclosure

SEC source: 0001127602-20-019462 · 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: 8,100,190

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 $37.595 to $38.00. 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
June 11, 2020 Filed Jun 11, 2020 19:14 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 8,800 $37.20 $327,360.00
Disclosure

SEC source: 0001127602-20-019462 · 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: 8,106,390

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 $36.59 to $37.58. 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
June 10, 2020 Filed Jun 11, 2020 19:14 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,400 $36.21 $195,534.00
Disclosure

SEC source: 0001127602-20-019462 · 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: 8,115,190

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 $36.09 to $36.42. 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
June 10, 2020 Filed Jun 11, 2020 19:14 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 9,600 $35.55 $341,280.00
Disclosure

SEC source: 0001127602-20-019462 · 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: 8,120,590

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 $35.07 to $36.07. 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
June 09, 2020 Filed Jun 10, 2020 18:09 UTC SaleCommon Stock 5,000 $35.49 $177,450.00
Disclosure

SEC source: 0001127602-20-019384 · 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: 158,606

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 $35.21 to $35.78. 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
June 09, 2020 Filed Jun 11, 2020 19:14 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 5,000 $35.49 $177,451.00
Disclosure

SEC source: 0001127602-20-019462 · 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: 8,130,190

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 $35.20 to $35.85. 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
June 09, 2020 Filed Jun 11, 2020 19:14 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 10,000 $35.51 $355,070.00
Disclosure

SEC source: 0001127602-20-019462 · 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: 8,135,190

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 $35.20 to $35.80. 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
June 08, 2020 Filed Jun 10, 2020 18:09 UTC SaleCommon Stock 1,000 $36.79 $36,794.50
Disclosure

SEC source: 0001127602-20-019384 · 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: 163,606

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 $36.76 to $36.87. 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
June 08, 2020 Filed Jun 10, 2020 18:09 UTC SaleCommon Stock 4,000 $36.30 $145,218.00
Disclosure

SEC source: 0001127602-20-019384 · 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: 164,606

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 $35.76 to $36.73. 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.

Read SEC document
June 03, 2020 Filed Jun 3, 2020 18:48 UTC
Walker David MChief Risk Officer
SaleCommon Stock 1,204 $36.33 $43,739.03
Disclosure

SEC source: 0001127602-20-018763 · 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: 323,085

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 $36.25 to $36.42. 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
June 03, 2020 Filed Jun 3, 2020 18:48 UTC
Walker David MChief Risk Officer
SaleCommon Stock 8,796 $35.80 $314,864.25
Disclosure

SEC source: 0001127602-20-018763 · 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: 324,289

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 $35.25 to $36.24. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
June 02, 2020 Filed Jun 3, 2020 18:48 UTC
Walker David MChief Risk Officer
SaleCommon Stock 100 $35.50 $3,549.97
Disclosure

SEC source: 0001127602-20-018763 · 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: 333,085

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 $35.49 to $35.50. 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.

Read SEC document
June 02, 2020 Filed Jun 3, 2020 18:48 UTC
Walker David MChief Risk Officer
SaleCommon Stock 9,900 $35.19 $348,398.82
Disclosure

SEC source: 0001127602-20-018763 · 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: 333,185

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 $34.49 to $35.48. 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
June 01, 2020 Filed Jun 3, 2020 18:45 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 9,226 $0.00 Strike: $17.26 $0.00
Disclosure

SEC source: 0001127602-20-018759 · form4.xml · derivative · entry 8

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,517

Underlying: Common Stock · 9,226 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: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 18:45 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 4,522 $34.28 $155,007.38
Disclosure

SEC source: 0001127602-20-018759 · 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

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 $34.15 to $34.43. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of 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.

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June 01, 2020 Filed Jun 3, 2020 18:45 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 4,704 $33.85 $159,237.93
Disclosure

SEC source: 0001127602-20-018759 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,283

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 $33.15 to $34.13. 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.

F4 · balance_after: The reported amount consists of 12,286 restricted stock units and 20,997 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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June 01, 2020 Filed Jun 3, 2020 18:45 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 9,226 $17.26 $159,240.76
Disclosure

SEC source: 0001127602-20-018759 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,987

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

F2 · balance_after: The reported amount consists of 12,286 restricted stock units and 25,701 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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June 01, 2020 Filed Jun 3, 2020 22:47 UTC SaleCommon Stock 14,776 $34.38 $507,941.25
Disclosure

SEC source: 0001127602-20-018761 · 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: 224,031

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 $34.18 to $34.89. 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.

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June 01, 2020 Filed Jun 3, 2020 22:47 UTC SaleCommon Stock 3,224 $33.92 $109,356.79
Disclosure

SEC source: 0001127602-20-018761 · 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: 238,807

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 $33.18 to $34.17. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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May 28, 2020 Filed May 28, 2020 19:08 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 1,713 $34.38 $58,892.94
Disclosure

SEC source: 0001127602-20-018101 · 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: 8,145,190

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 $34.35 to $34.45. 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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May 28, 2020 Filed May 28, 2020 19:08 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 13,287 $34.01 $451,890.87
Disclosure

SEC source: 0001127602-20-018101 · 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: 8,146,903

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 $33.34 to $34.34. 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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May 28, 2020 Filed May 28, 2020 19:06 UTC SaleCommon Stock 5,000 $34.03 $170,150.00
Disclosure

SEC source: 0001127602-20-018099 · 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: 168,606

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 $33.44 to $34.39. 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.

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May 27, 2020 Filed May 28, 2020 19:08 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 800 $34.84 $27,872.00
Disclosure

SEC source: 0001127602-20-018101 · 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: 8,160,190

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 $34.80 to $34.86. 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.

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May 27, 2020 Filed May 28, 2020 19:08 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 3,489 $34.11 $119,009.79
Disclosure

SEC source: 0001127602-20-018101 · 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: 8,160,990

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 $33.77 to $34.77. 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.

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May 27, 2020 Filed May 28, 2020 19:08 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 10,711 $33.27 $356,354.97
Disclosure

SEC source: 0001127602-20-018101 · 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: 8,164,479

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 $32.74 to $33.70. 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.

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May 27, 2020 Filed May 28, 2020 19:06 UTC SaleCommon Stock 1,300 $34.32 $44,618.47
Disclosure

SEC source: 0001127602-20-018099 · 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: 173,606

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 $33.88 to $34.87. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

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May 27, 2020 Filed May 28, 2020 19:06 UTC SaleCommon Stock 3,700 $33.26 $123,063.11
Disclosure

SEC source: 0001127602-20-018099 · 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: 174,906

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 $32.78 to $33.77. 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.

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May 26, 2020 Filed May 28, 2020 19:08 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 300 $33.87 $10,161.00
Disclosure

SEC source: 0001127602-20-018101 · 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: 8,175,190

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 $33.77 to $34.07. 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.

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May 26, 2020 Filed May 28, 2020 19:08 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 14,700 $33.21 $488,187.00
Disclosure

SEC source: 0001127602-20-018101 · 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: 8,175,490

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 $32.76 to $33.74. 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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May 20, 2020 Filed May 21, 2020 17:55 UTC
Walker David MChief Risk Officer
SaleCommon Stock 10,000 $31.71 $317,085.00
Disclosure

SEC source: 0001127602-20-017608 · 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: 343,085

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 $31.32 to $32.12. 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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May 19, 2020 Filed May 21, 2020 17:55 UTC
Walker David MChief Risk Officer
SaleCommon Stock 7,400 $30.39 $224,857.14
Disclosure

SEC source: 0001127602-20-017608 · 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: 353,085

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 $29.76 to $30.75. 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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.