Tapewire

Nasdaq · USD

HAPN

Happen, Inc.

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4526
SEC CIK
0001409970
Parsed reports
720

Last 12 months

Inside the activity.

0 purchase rows · 29 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202504
Jan 202601
Feb 202601
Mar 202601
Apr 202600
May 202602
Jun 202606
Jul 202604
Aug 202606
Sep 202603
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 25, 2023 Filed Feb 28, 2023 19:11 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 36,058 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007635 · form4.xml · derivative · entry 7

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 36,058 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F5 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2022, with an additional 25% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:11 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 23,778 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007635 · form4.xml · derivative · entry 6

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,886

Underlying: Common Stock · 23,778 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F3 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2021, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:11 UTC
ARMSTRONG ANNIEChief Risk Officer
Tax withholdingCommon Stock 36,647 $9.61 $352,177.67
Disclosure

SEC source: 0001127602-23-007635 · form4.xml · nonDerivative · entry 5

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,390

F2 · shares: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:11 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 4,279 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007635 · form4.xml · nonDerivative · entry 4

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,037

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:11 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 5,487 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007635 · form4.xml · nonDerivative · entry 3

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,758

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:11 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 36,058 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007635 · form4.xml · nonDerivative · entry 2

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,271

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:11 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 23,778 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007635 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,213

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,279 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · derivative · entry 11

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,234

Underlying: Common Stock · 4,279 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F8 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,487 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · derivative · entry 10

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,949

Underlying: Common Stock · 5,487 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F7 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 18,030 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · derivative · entry 9

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,030 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F6 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2022, with an additional 25% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,298 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · derivative · entry 8

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,192

Underlying: Common Stock · 6,298 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F5 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,493 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · derivative · entry 7

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,493 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F3 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 21,953 $9.61 $210,968.33
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · nonDerivative · entry 6

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,131

F2 · shares: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 4,279 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · nonDerivative · entry 5

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,084

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 5,487 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · nonDerivative · entry 4

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,805

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 18,030 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · nonDerivative · entry 3

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,318

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 6,298 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · nonDerivative · entry 2

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,288

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Feb 28, 2023 19:08 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007633 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,990

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:17 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,117 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007639 · form4.xml · derivative · entry 9

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,942

Underlying: Common Stock · 3,117 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F7 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:17 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,442 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007639 · form4.xml · derivative · entry 8

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,768

Underlying: Common Stock · 4,442 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F6 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:17 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,098 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007639 · form4.xml · derivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,394

Underlying: Common Stock · 5,098 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F5 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:17 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,397 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007639 · form4.xml · derivative · entry 6

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,397 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F3 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:17 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 5,967 $9.61 $57,342.87
Disclosure

SEC source: 0001127602-23-007639 · form4.xml · nonDerivative · entry 5

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,416

F2 · shares: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:17 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 3,117 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007639 · form4.xml · nonDerivative · entry 4

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,383

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:17 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 4,442 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007639 · form4.xml · nonDerivative · entry 3

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,266

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:17 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 5,098 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007639 · form4.xml · nonDerivative · entry 2

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,824

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:17 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 2,397 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007639 · form4.xml · nonDerivative · entry 1

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,726

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,252 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · derivative · entry 12

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,022

Underlying: Common Stock · 8,252 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F9 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,758 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · derivative · entry 11

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,032

Underlying: Common Stock · 11,758 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F8 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 110,177 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · derivative · entry 10

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 110,177 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F7 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2022, with an additional 25% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,496 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · derivative · entry 9

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,983

Underlying: Common Stock · 13,496 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F6 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,985 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · derivative · entry 8

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,985 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F4 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Tax withholdingCommon Stock 66,548 $9.61 $639,526.28
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · nonDerivative · entry 7

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,178,755

F3 · shares: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Disposition to issuerCommon Stock 27,273 $9.61 $262,093.53
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · nonDerivative · entry 6

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,245,303

F2 · shares: Does not represent a sale of shares. Represents the settlement of RSUs granted on January 20, 2022, February 26, 2020 and February 24, 2019, in cash rather than in shares of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 8,252 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · nonDerivative · entry 5

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,272,576

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 11,758 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · nonDerivative · entry 4

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,264,324

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 110,177 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · nonDerivative · entry 3

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,252,566

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 13,496 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · nonDerivative · entry 2

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,142,389

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 9,985 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007643 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,128,893

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 10,270 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · derivative · entry 11

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,160

Underlying: Common Stock · 10,270 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F8 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,755 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · derivative · entry 10

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,019

Underlying: Common Stock · 9,755 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F7 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 19,231 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · derivative · entry 9

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,231 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F6 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2022, with an additional 25% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,718 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · derivative · entry 8

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,872

Underlying: Common Stock · 6,718 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F5 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,991 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · derivative · entry 7

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,991 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F3 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Tax withholdingCommon Stock 27,364 $9.61 $262,968.04
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · nonDerivative · entry 6

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,065

F2 · shares: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 10,270 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · nonDerivative · entry 5

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,429

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 9,755 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · nonDerivative · entry 4

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,159

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 19,231 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · nonDerivative · entry 3

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,404

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 6,718 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · nonDerivative · entry 2

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,173

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document
February 25, 2023 Filed Mar 1, 2023 00:20 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 5,991 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007641 · form4.xml · nonDerivative · entry 1

Momen Ronnie · CIK 0001747276 · Bank-Chief of Consumer Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,455

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 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

Read SEC document

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