PFSI

SEC source: 0001127602-24-010863 · form4.xml · nonDerivative · entry 1

Chang William Herbert · CIK 0001969856 · Chief Capital Markets Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,937

F1 · shares: Represents shares withheld for taxes upon vesting of restricted stock units.

F2 · balance_after: The reported amount consists of 8,052 restricted stock units and 28,885 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-010028 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 644,612

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $85.11 to $85.97. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F5 · balance_after: The reported amount consists of 44,582 restricted stock units and 600,030 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-010028 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 647,938

F3 · balance_after: The reported amount consists of 44,582 restricted stock units and 603,356 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-010028 · form4.xml · nonDerivative · entry 1

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: Plan reported

Ownership: Indirect · ST Family Investment Company LLC

Disclosed balance after: 260,604

F1 · price: The price reported is the weighted average price of multiple transactions ranging from $85.39 to $85.99. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $86.00 to $86.57. 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.

SEC source: 0001127602-24-010031 · form4.xml · nonDerivative · entry 2

Jones Doug · CIK 0001544302 · Director · Director, President & CMBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,892

F1 · price: The price reported is the weighted average price of multiple transactions ranging from $85.69 to $86.50. 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.

F2 · balance_after: The reported amount consists of restricted stock units which are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008604 · form4.xml · nonDerivative · entry 1

Follette James · CIK 0001912289 · Chief Digital Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,789

F1 · price: The price reported is the weighted average price of multiple transactions at prices ranging from $84.21 to $84.96. 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.

F2 · price: The price reported is the weighted average price of multiple transactions at prices ranging from $85.04 to $85.61. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Common Stock and the prices at which the transactions were effected.

F3 · balance_after: The reported amount consists of 9,797 restricted stock units and 992 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008296 · form4.xml · nonDerivative · entry 1

JACOBSON JONATHON S · CIK 0001080168 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,923

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 1,854 restricted stock units and 7,069 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008225 · form4.xml · derivative · entry 6

Follette James · CIK 0001912289 · Chief Digital Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,494 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008225 · form4.xml · derivative · entry 5

Follette James · CIK 0001912289 · Chief Digital Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,494

Underlying: Common Stock · 8,494 shares

Expires not disclosed

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008225 · form4.xml · derivative · entry 4

Follette James · CIK 0001912289 · Chief Digital Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,830

Underlying: Common Stock · 8,830 shares

Expires 2034-02-28

F4 · derivative.exercise_date: This nonstatutory stock option to purchase 8,830 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's continued service through each date.

SEC source: 0001127602-24-008225 · form4.xml · nonDerivative · entry 3

Follette James · CIK 0001912289 · Chief Digital Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,850

F3 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

SEC source: 0001127602-24-008225 · form4.xml · nonDerivative · entry 2

Follette James · CIK 0001912289 · Chief Digital Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,751

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.

F2 · shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008225 · form4.xml · nonDerivative · entry 1

Follette James · CIK 0001912289 · Chief Digital Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,283

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008286 · form4.xml · nonDerivative · entry 1

Tozer Theodore W · CIK 0001712649 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,488

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 1,854 restricted stock units and 21,634 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008271 · form4.xml · nonDerivative · entry 1

Kinsella Patrick · CIK 0001612388 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,450

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 1,854 restricted stock units and 26,596 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008235 · form4.xml · derivative · entry 6

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,261 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008235 · form4.xml · derivative · entry 5

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,261

Underlying: Common Stock · 1,261 shares

Expires not disclosed

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008235 · form4.xml · derivative · entry 4

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 735

Underlying: Common Stock · 735 shares

Expires 2034-02-28

F4 · derivative.exercise_date: This non-statutory stock option to purchase 735 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's continued service through that date.

SEC source: 0001127602-24-008235 · form4.xml · nonDerivative · entry 3

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,040

F3 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

SEC source: 0001127602-24-008235 · form4.xml · nonDerivative · entry 2

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,263

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.

F2 · shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008235 · form4.xml · nonDerivative · entry 1

Hendry Gregory L · CIK 0001486334 · MD, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,557

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008275 · form4.xml · nonDerivative · entry 1

MCCALLION ANNE · CIK 0001232611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,241

F1 · shares: The Reporting Person was granted restricted stock units in connection with her service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 1,854 restricted stock units and 2,387 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008273 · form4.xml · nonDerivative · entry 1

MAZZELLA JOSEPH F · CIK 0001196045 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,674

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 1,854 restricted stock units and 130,820 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008212 · form4.xml · derivative · entry 6

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,368 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 20, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 20, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 20, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008212 · form4.xml · derivative · entry 5

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,368

Underlying: Common Stock · 4,368 shares

Expires not disclosed

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 20, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 20, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 20, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008212 · form4.xml · derivative · entry 4

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,880

Underlying: Common Stock · 6,880 shares

Expires 2034-02-28

F4 · derivative.exercise_date: This nonstatutory stock option to purchase 6,880 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026, 2027, subject to the Reporting Person's continued service through each date.

SEC source: 0001127602-24-008212 · form4.xml · nonDerivative · entry 3

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,339

F3 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

SEC source: 0001127602-24-008212 · form4.xml · nonDerivative · entry 2

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,146

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.

F2 · shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 20, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008212 · form4.xml · nonDerivative · entry 1

STARK DEREK · CIK 0001198631 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,898

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008171 · form4.xml · derivative · entry 7

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,189 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout for the award of 114.3%.

SEC source: 0001127602-24-008171 · form4.xml · derivative · entry 6

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,189

Underlying: Common Stock · 35,189 shares

Expires not disclosed

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout for the award of 114.3%.

SEC source: 0001127602-24-008171 · form4.xml · derivative · entry 5

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,177

Underlying: Common Stock · 46,177 shares

Expires 2034-02-28

F4 · derivative.exercise_date: This nonstatutory stock option to purchase 46,177 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's continued service through each date.

SEC source: 0001127602-24-008171 · form4.xml · nonDerivative · entry 4

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 674,389

F3 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

SEC source: 0001127602-24-008171 · form4.xml · nonDerivative · entry 3

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 673,751

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.

F2 · shares: This performance-based restricted stock unit (PSU) award was granted to the reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout for the award of 114.3%.

SEC source: 0001127602-24-008171 · form4.xml · nonDerivative · entry 2

SPECTOR DAVID · CIK 0001275713 · Director · Chairman & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 692,222

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of the grant, are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008268 · form4.xml · nonDerivative · entry 1

Hunt James K · CIK 0001359733 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,822

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 1,854 restricted stock units and 29,968 shares of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008181 · form4.xml · derivative · entry 8

Jones Doug · CIK 0001544302 · Director · Director, President & CMBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,415 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008181 · form4.xml · derivative · entry 7

Jones Doug · CIK 0001544302 · Director · Director, President & CMBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,415

Underlying: Common Stock · 19,415 shares

Expires not disclosed

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008181 · form4.xml · derivative · entry 6

Jones Doug · CIK 0001544302 · Director · Director, President & CMBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,044

Underlying: Common Stock · 27,044 shares

Expires 2034-02-28

F4 · derivative.exercise_date: This nonstatutory stock option to purchase 27,044 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's committed service through each date.

SEC source: 0001127602-24-008181 · form4.xml · nonDerivative · entry 5

Jones Doug · CIK 0001544302 · Director · Director, President & CMBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,971

F3 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

SEC source: 0001127602-24-008181 · form4.xml · nonDerivative · entry 4

Jones Doug · CIK 0001544302 · Director · Director, President & CMBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,027

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.

F2 · shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008181 · form4.xml · nonDerivative · entry 3

Jones Doug · CIK 0001544302 · Director · Director, President & CMBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,844

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of the grant, are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008244 · form4.xml · derivative · entry 6

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,494 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008244 · form4.xml · derivative · entry 5

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,494

Underlying: Common Stock · 8,494 shares

Expires not disclosed

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008244 · form4.xml · derivative · entry 4

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,151

Underlying: Common Stock · 5,151 shares

Expires 2034-02-28

F4 · derivative.exercise_date: This nonstatutory stock option to purchase 5,151 shares of Common Stock of the Issuer will vest as to one-third of the optioned shares on each of March 1, 2025, 2026 and 2027, subject to the Reporting Person's continued service through each date.

SEC source: 0001127602-24-008244 · form4.xml · nonDerivative · entry 3

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,670

F3 · shares: Represents shares withheld for taxes upon vesting of performance-based restricted stock units.

SEC source: 0001127602-24-008244 · form4.xml · nonDerivative · entry 2

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,893

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.

F2 · shares: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

SEC source: 0001127602-24-008244 · form4.xml · nonDerivative · entry 1

Bailey Steven Richard · CIK 0001571945 · Chief Servicing Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,953

F1 · shares: The Reporting Person was granted restricted stock units, which will vest in three equal installments beginning on the first anniversary of the date of grant, are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008293 · form4.xml · nonDerivative · entry 1

NANJI FARHAD · CIK 0001575023 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,843

F1 · shares: The Reporting Person was granted restricted stock units in connection with his service as a Director. These restricted stock units, which will vest in full on the first anniversary of the grant date, are to be settled in an equal number of shares of Common Stock upon vesting.

F2 · balance_after: The reported amount consists of 1,854 restricted stock units and 179,989 of Common Stock. The restricted stock units are to be settled in an equal number of shares of Common Stock upon vesting.

SEC source: 0001127602-24-008202 · form4.xml · derivative · entry 7

Perotti Daniel Stanley · CIK 0001591994 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,494 shares

Expires not disclosed

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.

F2 · derivative.exercise_price: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.exercise_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.

F2 · derivative.expiration_date: This performance-based restricted stock unit (PSU) award was granted to the Reporting Person on February 25, 2021 and vested on February 29, 2024, as determined by the Compensation Committee of the Board of Directors. The payout of shares of Common Stock pursuant to the PSU award was determined based on return on equity and leverage ratio performance for the period of January 1, 2021 through December 31, 2023 resulting in a payout percentage for the award of 114.3%.