Botein Matthew

SEC source: 0000950170-25-105903 · ownership.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 8,968,445

F1 · kind: The shares were sold in connection with an underwritten public offering of the Issuer's common stock at a price per share of $30.66.

F2 · ownership.nature: Shares held by GPC Partners Investments (SPV III) LP ("GPC Fund"). Gallatin Point Capital LLC ("Gallatin Point") is the manager of GPC Partners GP LLC ("GPC GP"), which is the general partner of GPC Fund. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Fund. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: GPC Fund and American Family Mutual Insurance Company, S.I. ("AFMIC") are parties to a Voting Agreement dated as of May 22, 2024, and each may be deemed to be members of a "group," as defined in Rule 13d-5 under the Exchange Act. The share ownership reported herein does not include any shares of the common stock owned by AFMIC, and the Reporting Person disclaims beneficial ownership of any shares of the common stock owned by AFMIC to the extent GPC Fund and AFMIC may be deemed to be members of a group.

SEC source: 0000950170-24-126443 · ownership.xml · derivative · entry 4

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 112,500

Underlying: Common Shares · 13,521,634 shares

Expires not disclosed

F1 · derivative.exercise_price: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.exercise_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.expiration_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

SEC source: 0000950170-24-126443 · ownership.xml · derivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 0

Underlying: Common Shares · 5,136,564 shares

Expires not disclosed

F1 · derivative.exercise_price: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.exercise_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.expiration_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

SEC source: 0000950170-24-126443 · ownership.xml · derivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 112,500

Underlying: Common Shares · 5,859,375 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.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.exercise_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.expiration_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

SEC source: 0000950170-24-126443 · ownership.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 5,859,375

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 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F2 · balance_after: Pursuant to the Issuer's organizational documents, in no event may the Series A Preferred Shares held directly or indirectly by the Reporting Person, together with any Common Shares received on conversion of Series A Preferred Shares or as Dividends with respect to such Series A Preferred Shares, be entitled to vote in excess of 9.9% of the aggregate voting power of the then-outstanding Common Shares on an as converted basis or of the outstanding voting securities of the Issuer.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

SEC source: 0000950170-24-118398 · ownership.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 10,968,445

F1 · kind: The shares were sold in connection with an underwritten public offering of the Issuer's Common Stock (including pursuant to the underwriters' exercise of their over-allotment option) at a net price per share of $27.695, after underwriting discounts and commissions.

F1 · price: The shares were sold in connection with an underwritten public offering of the Issuer's Common Stock (including pursuant to the underwriters' exercise of their over-allotment option) at a net price per share of $27.695, after underwriting discounts and commissions.

F2 · ownership.nature: Shares held by GPC Fund. Gallatin Point Capital LLC ("Gallatin Point") is the manager of GPC Partners GP LLC ("GPC GP"), which is the general partner of GPC Fund. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Fund. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: GPC Fund and American Family Mutual Insurance Company, S.I. ("AFMIC") are parties to a Voting Agreement dated as of May 22, 2024, and each may be deemed to be members of a "group," as defined in Rule 13d-5 under the Exchange Act. The share ownership reported herein does not include any shares of the common stock owned by AFMIC, and the Reporting Person disclaims beneficial ownership of any shares of the common stock owned by AFMIC to the extent GPC Fund and AFMIC may be deemed to be members of a group.

SEC source: 0000950170-24-080648 · ownership.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 14,142,523

F1 · kind: In light of the performance of the Issuer's common stock following its initial public offering, the limited partnership agreement of Bowhead Insurance Holdings LP ("BIHL") was amended to increase the number of shares of Issuer common stock to be distributed to the holders of BIHL Class P interests upon dissolution of BIHL, thereby reducing the number of shares of Issuer common stock to be distributed to the holders of BIHL Class A interests (including GPC Partners Investments (SPV III) LP ("GPC Fund")) upon dissolution. This number is subject to adjustment based on the actual number of shares of Issuer common stock distributed after accounting for costs associated with the dissolution of BIHL.

F1 · price: In light of the performance of the Issuer's common stock following its initial public offering, the limited partnership agreement of Bowhead Insurance Holdings LP ("BIHL") was amended to increase the number of shares of Issuer common stock to be distributed to the holders of BIHL Class P interests upon dissolution of BIHL, thereby reducing the number of shares of Issuer common stock to be distributed to the holders of BIHL Class A interests (including GPC Partners Investments (SPV III) LP ("GPC Fund")) upon dissolution. This number is subject to adjustment based on the actual number of shares of Issuer common stock distributed after accounting for costs associated with the dissolution of BIHL.

F2 · ownership.nature: GPC Fund and American Family Mutual Insurance Company, S.I. ("AFMIC") are parties to a Voting Agreement dated as of May 22, 2024, and each may be deemed to be members of a "group," as defined in Rule 13d-5 under the Securities Exchange Act of 1934 (the "Exchange Act"). The share ownership reported herein does not include any shares of the common stock owned by AFMIC, and the Reporting Person disclaims beneficial ownership of any shares of the common stock owned by AFMIC to the extent GPC Fund and AFMIC may be deemed to be members of a group.

F3 · ownership.nature: Represents GPC Fund's allocation of securities held directly by BIHL based on GPC Fund's ownership of limited partnership interests in BIHL. Bowhead Insurance GP LLC ("BIHL GP") is the general partner of BIHL. Through their interests in BIHL, and as a result of having certain voting and governance rights under the BIHL limited partnership agreement and BIHL GP limited liability company agreement, GPC Fund and AFMIC may be deemed to have shared voting and dispositive power over all of the securities held directly by BIHL (24,000,000 shares of common stock).

F4 · ownership.nature: Gallatin Point Capital LLC ("Gallatin Point") is the manager of GPC Partners GP LLC ("GPC GP"), which is the general partner of GPC Fund. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Fund. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these securities in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Exchange Act.

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,802

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

F6 · price: The price reported is the weighted average price of multiple transactions ranging from $44.12 to $44.98. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,992

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

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $44.00 to $44.44. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,087

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

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $44.00 to $44.18. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,702

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

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

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,802

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

F8 · price: The price reported is the weighted average price of multiple transactions ranging from $43.00 to $43.89. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,091

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

F7 · price: The price reported is the weighted average price of multiple transactions ranging from $43.00 to $43.06. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 351,802

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

F6 · price: The price reported is the weighted average price of multiple transactions ranging from $42.00 to $42.75. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,802

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

F5 · price: The price reported is the weighted average price of multiple transactions ranging from $42.48 to $42.75. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,614

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

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $41.475 to $42.47. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,802

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

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $42.53 to $42.76. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

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

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 393,202

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

F2 · price: The price reported is the weighted average price of multiple transactions ranging from $41.53 to $42.51. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

SEC source: 0001127602-20-009861 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,802

F1 · price: The price reported is the weighted average price of multiple transactions ranging from $37.15 to $37.20. 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.

F2 · balance_after: The reported amount consists of 10,011 restricted stock units and 401,791 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-20-008243 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 417,489

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 11,802 restricted stock units and 405,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-20-005668 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,578

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 $34.91 to $35.59. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F3 · balance_after: The reported amount consists of 8,891 restricted stock units and 405,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-20-005138 · form4.xml · nonDerivative · entry 5

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,578

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

F10 · price: The price reported is the weighted average price of multiple transactions ranging from $38.13 to $38.36. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F11 · balance_after: The reported amount consists of 8,891 restricted stock units and 420,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-20-005138 · form4.xml · nonDerivative · entry 4

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 432,582

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 $37.12 to $38.03. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F9 · balance_after: The reported amount consists of 8,891 restricted stock units and 423,691 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-20-005138 · form4.xml · nonDerivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 449,578

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 $37.60 to $38.48. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F7 · balance_after: The reported amount consists of 8,891 restricted stock units and 440,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-20-005138 · form4.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469,578

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

F5 · balance_after: The reported amount consists of 8,891 restricted stock units and 460,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-20-005138 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 471,209

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 $37.89 to $38.69. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F3 · price: The price reported is the weighted average price of multiple transactions ranging from $38.99 to $39.39. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F4 · balance_after: The reported amount consists of 8,891 restricted stock units and 462,318 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-032369 · form4.xml · nonDerivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489,578

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 $30.53 to $30.95. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F7 · balance_after: The reported amount consists of 8,891 restricted stock units and 480,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-032369 · form4.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 509,578

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 $30.80 to $31.28. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F5 · balance_after: The reported amount consists of 8,891 restricted stock units and 500,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-032369 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,578

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 $30.48 to $31.42. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F3 · balance_after: The reported amount consists of 8,891 restricted stock units and 520,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-032059 · form4.xml · nonDerivative · entry 4

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,578

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F8 · price: The price reported is the weighted average price of multiple transactions ranging from $29.88 to $30.61. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F9 · balance_after: The reported amount consists of 8,891 restricted stock units and 540,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-032059 · form4.xml · nonDerivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 569,578

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F6 · price: The price reported is the weighted average price of multiple transactions ranging from $30.51 to $31.25. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F7 · balance_after: The reported amount consists of 8,891 restricted stock units and 560,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-032059 · form4.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 573,213

F3 · shares: These shares of Common Stock were sold pursuant to a 10b5-1 plan.

F4 · price: The price reported is the weighted average price of multiple transactions ranging from $29.49 to $30.32. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F5 · balance_after: The reported amount consists of 8,891 restricted stock units and 564,322 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-032059 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 589,578

F1 · shares: Represents a bona fide gift of shares of Common Stock to a charitable organization.

F2 · balance_after: The reported amount consists of 8,891 restricted stock units and 580,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-022672 · form4.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,578

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 $21.70 to $22.09. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F5 · balance_after: he reported amount consists of 8,891 restricted stock units and 605,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-022672 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 634,578

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 $21.51 to $22.065. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F3 · balance_after: The reported amount consists of 8,891 restricted stock units and 625,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-022288 · form4.xml · nonDerivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 654,578

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 $21.725 to $21.93. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F7 · balance_after: The reported amount consists of 8,891 restricted stock units and 645,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-022288 · form4.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 674,578

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 $21.25 to $21.81. 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.

F5 · balance_after: The reported amount consists of 8,891 restricted stock units and 665,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-022288 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 694,578

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 $21.025 to $21.33. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of shares of Common Stock and the prices at which the transactions were effected.

F3 · balance_after: The reported amount consists of 8,891 restricted stock units and 685,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001437749-19-010280 · rdgdoc.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of January 7, 2019 (the "Merger Agreement"), between Northeast Bancorp (the "Company") and Northeast Bank (the "Bank"). Pursuant to the Merger Agreement, in exchange for each share of Company common stock the reporting person received one share of Bank common stock.

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of January 7, 2019 (the "Merger Agreement"), between Northeast Bancorp (the "Company") and Northeast Bank (the "Bank"). Pursuant to the Merger Agreement, in exchange for each share of Company common stock the reporting person received one share of Bank common stock.

SEC source: 0001127602-19-011703 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 714,578

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 8,891 restricted stock units and 705,687 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001469142-19-000002 · wf-form4_155025632113901.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 is being filed as a result of the closing on February 15, 2019 of the merger (the "Merger") as described in the Agreement and Plan of Merger, dated as of August 27, 2018 (the "Merger Agreement") among Aspen Insurance Holdings Limited (the "Issuer"), Highlands Holdings, Ltd., and Highlands Merger Sub, Ltd.

F2 · shares: At the effective time of the Merger, each outstanding ordinary share of the Issuer was converted into a right to receive a cash payment of $42.75 without any interest and less any applicable withholding tax.

SEC source: 0001127602-19-005515 · form5.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 710,128

F1 · shares: Represents a bona fide gift of shares of Common Stock to a charitable organization.

F2 · balance_after: The reported amount consists of 10,128 restricted stock units and 700,000 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-19-005515 · form5.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 710,128

F1 · shares: Represents a bona fide gift of shares of Common Stock to a charitable organization.

F2 · balance_after: The reported amount consists of 10,128 restricted stock units and 700,000 shares of Common Stock. The restricted stock units are to be settled in an equal number of Common Stock upon vesting.

SEC source: 0001127602-18-025500 · form4.xml · derivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 718,552

Underlying: Class A Common Stock · 10,000 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: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments.

F2 · derivative.exercise_date: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments.

F7 · derivative.expiration_date: N/A

F1 · derivative.underlying_shares: Represents shares of Class A Common Stock received upon the exchange of Class A Units of Private National Mortgage Acceptance Company, LLC.

SEC source: 0001127602-18-025500 · form4.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,893

F4 · shares: These shares of Class A 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 $20.95 to $21.475. 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 Class A Common Stock and the prices at which the transactions were effected.

F6 · balance_after: The reported amount consists of 10,128 restricted stock units and 15,765 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.

SEC source: 0001127602-18-025500 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,893

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.

F1 · shares: Represents shares of Class A Common Stock received upon the exchange of Class A Units of Private National Mortgage Acceptance Company, LLC.

F2 · price: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments.

F3 · balance_after: The reported amount consists of 10,128 restricted stock units and 25,765 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.

SEC source: 0001127602-18-024993 · form4.xml · derivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 728,552

Underlying: Class A Common Stock · 10,000 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: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments.

F2 · derivative.exercise_date: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments.

F7 · derivative.expiration_date: N/A

F1 · derivative.underlying_shares: Represents shares of Class A Common Stock received upon the exchange of Class A Units of Private National Mortgage Acceptance Company, LLC.

SEC source: 0001127602-18-024993 · form4.xml · nonDerivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,893

F4 · shares: These shares of Class A Common Stock were sold pursuant to a 10b5-1 plan.

F5 · price: The price reported is the weighted average of multiple transactions ranging from $20.95 to $21.40. The reporting person hereby undertakes to provide upon request to the SEC, the Issuer or a security holder of the Issuer the number of Class A Common Stock and the price at which the transactions were effected.

F6 · balance_after: The reported amount consists of 10,128 restricted stock units and 15,765 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.

SEC source: 0001127602-18-024993 · form4.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,893

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.

F1 · shares: Represents shares of Class A Common Stock received upon the exchange of Class A Units of Private National Mortgage Acceptance Company, LLC.

F2 · price: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments.

F3 · balance_after: The reported amount consists of 10,128 restricted stock units and 25,765 shares of Class A Common Stock. The restricted stock units are to be settled in an equal number of shares of Class A Common Stock upon vesting.

SEC source: 0001127602-18-024295 · form4.xml · derivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 738,552

Underlying: Class A Common Stock · 10,000 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: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments.

F2 · derivative.exercise_date: Pursuant to the terms of an exchange agreement, Class A Units of Private National Mortgage Acceptance Company, LLC are exchangeable for shares of Class A Common Stock of PennyMac Financial Services, Inc. on a one-for-one basis, subject to customary conversion rate adjustments.

F7 · derivative.expiration_date: N/A

F1 · derivative.underlying_shares: Represents shares of Class A Common Stock received upon the exchange of Class A Units of Private National Mortgage Acceptance Company, LLC.