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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
May 19, 2020 Filed May 21, 2020 17:55 UTC
Walker David MChief Risk Officer
SaleCommon Stock 2,600 $29.33 $76,255.92
Disclosure

SEC source: 0001127602-20-017608 · 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: 360,485

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 $28.68 to $29.655. 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
May 15, 2020 Filed May 15, 2020 18:57 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 600 $29.01 $17,407.98
Disclosure

SEC source: 0001127602-20-016800 · 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: 8,190,190

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 $29.00 to $29.04. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
May 13, 2020 Filed May 14, 2020 18:41 UTC SaleCommon Stock 300 $28.18 $8,454.06
Disclosure

SEC source: 0001127602-20-016658 · 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: 178,606

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 $28.17 to $28.25. 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
May 13, 2020 Filed May 14, 2020 18:41 UTC SaleCommon Stock 4,700 $27.77 $130,522.76
Disclosure

SEC source: 0001127602-20-016658 · 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: 178,906

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 $27.16 to $28.14. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
May 13, 2020 Filed May 15, 2020 18:57 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 419 $28.25 $11,836.75
Disclosure

SEC source: 0001127602-20-016800 · 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: 8,190,790

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 $28.23 to $28.30. 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
May 13, 2020 Filed May 15, 2020 18:57 UTC
KURLAND STANFORD LDirector · 10% owner
SaleCommon Stock 13,481 $27.80 $374,771.80
Disclosure

SEC source: 0001127602-20-016800 · 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: 8,191,209

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 $27.22 to $28.21. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
May 12, 2020 Filed May 14, 2020 18:41 UTC SaleCommon Stock 400 $29.26 $11,703.00
Disclosure

SEC source: 0001127602-20-016658 · 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: 183,606

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 $29.21 to $29.32. 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.

Read SEC document
May 12, 2020 Filed May 14, 2020 18:41 UTC SaleCommon Stock 4,600 $28.81 $132,514.04
Disclosure

SEC source: 0001127602-20-016658 · 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: 184,006

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 $28.19 to $29.16. 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
May 11, 2020 Filed May 13, 2020 22:02 UTC GrantCommon Stock 952 $26.05 $24,799.60
Disclosure

SEC source: 0001127602-20-016466 · form4.xml · nonDerivative · entry 1

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387,101

F1 · shares: The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of the Issuer during the first quarter of 2020. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934.

F2 · balance_after: The reported amount consists of 4,236 restricted stock units and 382,865 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
May 11, 2020 Filed May 13, 2020 22:07 UTC
NANJI FARHADDirector
GrantCommon Stock 897 $26.05 $23,366.85
Disclosure

SEC source: 0001127602-20-016470 · form4.xml · nonDerivative · entry 1

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,733

F1 · shares: The Reporting Person received these shares in lieu of cash compensation payable for services rendered as a non-management director of the Issuer during the first quarter of 2020. The transaction is exempt under Rule 16b-3 of the Securities Exchange Act of 1934.

F2 · balance_after: The reported amount consists of 4,236 restricted stock units and 186,497 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
May 08, 2020 Filed May 8, 2020 21:14 UTC
Walker David MChief Risk Officer
SaleCommon Stock 4,698 $31.25 $146,803.57
Disclosure

SEC source: 0001127602-20-015989 · 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: 363,085

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 $30.97 to $31.64. 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
May 08, 2020 Filed May 8, 2020 21:14 UTC
Walker David MChief Risk Officer
SaleCommon Stock 5,302 $30.53 $161,884.91
Disclosure

SEC source: 0001127602-20-015989 · 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: 367,783

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 $29.97 to $30.94. 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.

Read SEC document
May 07, 2020 Filed May 8, 2020 21:14 UTC
Walker David MChief Risk Officer
SaleCommon Stock 10,000 $28.72 $287,162.00
Disclosure

SEC source: 0001127602-20-015989 · 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: 373,085

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

Read SEC document
May 05, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 4,453 $0.00 Strike: $21.03 $0.00
Disclosure

SEC source: 0001127602-20-015461 · form4.xml · derivative · entry 14

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,453 shares

Expires 2023-06-12

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.

F11 · derivative.underlying_shares: This nonstatutory stock option to purchase 15,882 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.

Read SEC document
May 05, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 156 $0.00 Strike: $17.26 $0.00
Disclosure

SEC source: 0001127602-20-015461 · form4.xml · derivative · entry 13

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,743

Underlying: Common Stock · 156 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.

F10 · 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
May 05, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 4,609 $29.35 $135,295.35
Disclosure

SEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 6

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.

F9 · price: The price reported is the weighted average price of multiple transactions ranging from $29.01 to $29.71. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of 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
May 05, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 4,453 $21.03 $93,646.59
Disclosure

SEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 5

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,370

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 · balance_after: The reported amount consists of 12,286 restricted stock units and 21,084 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
May 05, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 156 $17.26 $2,692.56
Disclosure

SEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 4

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,917

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.

F7 · balance_after: The reported amount consists of 12,286 restricted stock units and 16,631 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
May 01, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 2,300 $0.00 Strike: $21.03 $0.00
Disclosure

SEC source: 0001127602-20-015461 · form4.xml · derivative · entry 12

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,453

Underlying: Common Stock · 2,300 shares

Expires 2023-06-12

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.

F11 · derivative.underlying_shares: This nonstatutory stock option to purchase 15,882 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.

Read SEC document
May 01, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 2,317 $0.00 Strike: $17.26 $0.00
Disclosure

SEC source: 0001127602-20-015461 · form4.xml · derivative · entry 11

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,899

Underlying: Common Stock · 2,317 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.

F10 · 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
May 01, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 4,617 $29.24 $135,020.01
Disclosure

SEC source: 0001127602-20-015461 · 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 $29.00 to $29.56. 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
May 01, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 2,300 $21.03 $48,369.00
Disclosure

SEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,378

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 21,092 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
May 01, 2020 Filed May 5, 2020 16:54 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 2,317 $17.26 $39,991.42
Disclosure

SEC source: 0001127602-20-015461 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,078

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 18,792 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
May 01, 2020 Filed May 5, 2020 20:51 UTC SaleCommon Stock 1,320 $28.85 $38,086.75
Disclosure

SEC source: 0001127602-20-015455 · 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: 242,031

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 $28.60 to $29.56. 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
May 01, 2020 Filed May 5, 2020 20:51 UTC SaleCommon Stock 16,680 $28.06 $468,045.80
Disclosure

SEC source: 0001127602-20-015455 · 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: 243,351

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 $27.56 to $28.55. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

Read SEC document
April 30, 2020 Filed Apr 30, 2020 19:57 UTC SaleCommon Stock 500 $30.94 $15,470.00
Disclosure

SEC source: 0001127602-20-014930 · form4.xml · nonDerivative · entry 5

KURLAND STANFORD L · CIK 0001181595 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 8,204,690

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 $30.77 to $30.98. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
April 30, 2020 Filed Apr 30, 2020 19:57 UTC SaleCommon Stock 14,500 $30.10 $436,450.00
Disclosure

SEC source: 0001127602-20-014930 · form4.xml · nonDerivative · entry 4

KURLAND STANFORD L · CIK 0001181595 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 8,205,190

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 $29.74 to $30.73. 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
April 29, 2020 Filed Apr 30, 2020 19:57 UTC SaleCommon Stock 9,200 $31.44 $289,248.00
Disclosure

SEC source: 0001127602-20-014930 · form4.xml · nonDerivative · entry 3

KURLAND STANFORD L · CIK 0001181595 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 8,219,690

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 $31.16 to $31.72. 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
April 29, 2020 Filed Apr 30, 2020 19:57 UTC SaleCommon Stock 5,800 $30.75 $178,364.50
Disclosure

SEC source: 0001127602-20-014930 · form4.xml · nonDerivative · entry 2

KURLAND STANFORD L · CIK 0001181595 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 8,228,890

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 $30.10 to $31.10. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
April 29, 2020 Filed Apr 30, 2020 19:51 UTC SaleCommon Stock 1,000 $31.60 $31,600.00
Disclosure

SEC source: 0001127602-20-014926 · 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: 188,606

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 $31.48 to $31.71. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
April 29, 2020 Filed Apr 30, 2020 19:51 UTC SaleCommon Stock 4,000 $31.07 $124,290.40
Disclosure

SEC source: 0001127602-20-014926 · 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: 189,606

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 $30.46 to $31.46. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

Read SEC document
April 28, 2020 Filed Apr 30, 2020 19:57 UTC SaleCommon Stock 15,000 $28.82 $432,264.00
Disclosure

SEC source: 0001127602-20-014930 · form4.xml · nonDerivative · entry 1

KURLAND STANFORD L · CIK 0001181595 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 8,234,690

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 $28.43 to $29.41. 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.

Read SEC document
April 28, 2020 Filed Apr 30, 2020 19:55 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 9,129 $0.00 Strike: $21.03 $0.00
Disclosure

SEC source: 0001127602-20-014928 · form4.xml · derivative · entry 9

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,753

Underlying: Common Stock · 9,129 shares

Expires 2023-06-12

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.

F6 · derivative.underlying_shares: This nonstatutory stock option to purchase 15,882 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of June 13, 2014, 2015 and 2016, subject to the Reporting Person's continued service through each date.

Read SEC document
April 28, 2020 Filed Apr 30, 2020 19:55 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionNonstatutory Stock Option (Right to Buy) · Derivative 27,771 $0.00 Strike: $11.28 $0.00
Disclosure

SEC source: 0001127602-20-014928 · 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 · 27,771 shares

Expires 2026-03-06

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.

F5 · derivative.underlying_shares: This nonstatutory stock option to purchase 27,771 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 7, 2017, 2018 and 2019, subject to the Reporting Person's committed service through each date.

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April 28, 2020 Filed Apr 30, 2020 19:55 UTC
Grogin JeffreyChief Enterprise Ops Officer
SaleCommon Stock 36,900 $29.06 $1,072,487.43
Disclosure

SEC source: 0001127602-20-014928 · 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

F2 · 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 $29.00 to $29.64. 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.

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April 28, 2020 Filed Apr 30, 2020 19:55 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 9,129 $21.03 $191,982.87
Disclosure

SEC source: 0001127602-20-014928 · form4.xml · nonDerivative · entry 2

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,661

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.

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April 28, 2020 Filed Apr 30, 2020 19:55 UTC
Grogin JeffreyChief Enterprise Ops Officer
Exercise / conversionCommon Stock 27,771 $11.28 $313,256.88
Disclosure

SEC source: 0001127602-20-014928 · form4.xml · nonDerivative · entry 1

Grogin Jeffrey · CIK 0001440697 · Chief Enterprise Ops Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,532

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.

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April 28, 2020 Filed Apr 30, 2020 19:51 UTC SaleCommon Stock 5,000 $28.80 $144,000.00
Disclosure

SEC source: 0001127602-20-014926 · 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: 193,606

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 $28.55 to $29.28. 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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April 24, 2020 Filed Apr 24, 2020 18:54 UTC
Walker David MChief Risk Officer
SaleCommon Stock 200 $27.10 $5,419.02
Disclosure

SEC source: 0001127602-20-014499 · 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: 383,085

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 $27.07 to $27.125. 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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April 24, 2020 Filed Apr 24, 2020 18:54 UTC
Walker David MChief Risk Officer
SaleCommon Stock 4,800 $26.57 $127,530.72
Disclosure

SEC source: 0001127602-20-014499 · 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: 383,285

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 $26.02 to $27.02. 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.

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April 23, 2020 Filed Apr 24, 2020 18:54 UTC
Walker David MChief Risk Officer
SaleCommon Stock 500 $28.31 $14,154.55
Disclosure

SEC source: 0001127602-20-014499 · 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: 388,085

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 $28.245 to $28.36. 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.

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April 23, 2020 Filed Apr 24, 2020 18:54 UTC
Walker David MChief Risk Officer
SaleCommon Stock 9,500 $27.70 $263,176.60
Disclosure

SEC source: 0001127602-20-014499 · 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: 388,585

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 $27.235 to $28.175. 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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April 15, 2020 Filed Apr 15, 2020 18:44 UTC GiftCommon Stock 81,849 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-013759 · form4.xml · nonDerivative · entry 3

KURLAND STANFORD L · CIK 0001181595 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · 1998 Kurland Revocable Trust Dtd 1/14/98

Disclosed balance after: 115,544

F3 · shares: The Reporting Person transferred 81,849 shares of Common Stock held by the Reporting Person to a family trust, of which the Reporting Person is a trustee.

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April 15, 2020 Filed Apr 15, 2020 18:44 UTC GiftCommon Stock 81,849 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-013759 · form4.xml · nonDerivative · entry 2

KURLAND STANFORD L · CIK 0001181595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,279

F3 · shares: The Reporting Person transferred 81,849 shares of Common Stock held by the Reporting Person to a family trust, of which the Reporting Person is a trustee.

F4 · balance_after: The reported amount consists of 7,279 restricted stock units. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

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April 14, 2020 Filed Apr 15, 2020 18:44 UTC SaleCommon Stock 300 $27.08 $8,122.98
Disclosure

SEC source: 0001127602-20-013759 · form4.xml · nonDerivative · entry 1

KURLAND STANFORD L · CIK 0001181595 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Kurland Family Investments, LLC

Disclosed balance after: 8,249,690

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 $27.00 to $27.21. 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.

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April 14, 2020 Filed Apr 15, 2020 18:39 UTC SaleCommon Stock 1,100 $26.88 $29,567.01
Disclosure

SEC source: 0001127602-20-013755 · form4.xml · nonDerivative · entry 8

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 198,606

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

F9 · price: The price reported is the weighted average price of multiple transactions ranging from $26.815 to $26.945. 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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April 14, 2020 Filed Apr 15, 2020 18:39 UTC SaleCommon Stock 3,900 $26.23 $102,284.13
Disclosure

SEC source: 0001127602-20-013755 · form4.xml · nonDerivative · entry 7

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 199,706

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 $25.815 to $26.80. 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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April 14, 2020 Filed Apr 15, 2020 18:39 UTC SaleCommon Stock 1,800 $26.84 $48,306.96
Disclosure

SEC source: 0001127602-20-013755 · form4.xml · nonDerivative · entry 6

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 203,606

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 $26.76 to $26.93. 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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April 14, 2020 Filed Apr 15, 2020 18:39 UTC SaleCommon Stock 3,200 $26.07 $83,411.84
Disclosure

SEC source: 0001127602-20-013755 · form4.xml · nonDerivative · entry 5

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 205,406

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 $25.715 to $26.67. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

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April 14, 2020 Filed Apr 15, 2020 22:42 UTC SaleCommon Stock 8,768 $27.17 $238,184.47
Disclosure

SEC source: 0001127602-20-013757 · 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: 260,031

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 $27.00 to $27.6150. 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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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.