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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

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 25, 2023 Filed Mar 1, 2023 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,279 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · derivative · entry 11

PACE BRANDON · CIK 0001771959 · Chief Administrative 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 Mar 1, 2023 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,097 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · derivative · entry 10

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,387

Underlying: Common Stock · 6,097 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 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 16,828 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · derivative · entry 9

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,828 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 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,878 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · derivative · entry 8

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,513

Underlying: Common Stock · 5,878 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 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,692 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · derivative · entry 7

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,692 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 00:14 UTC
PACE BRANDONChief Administrative Officer
Tax withholdingCommon Stock 20,416 $9.61 $196,197.76
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · nonDerivative · entry 6

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,436

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 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 4,279 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · nonDerivative · entry 5

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,852

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 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 6,097 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · nonDerivative · entry 4

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,573

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 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 16,828 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · nonDerivative · entry 3

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,476

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 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 5,878 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · nonDerivative · entry 2

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,648

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 00:14 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 5,692 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-007637 · form4.xml · nonDerivative · entry 1

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,770

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 10, 2023 Filed Feb 15, 2023 00:04 UTC
Momen RonnieBank-Chief of Consumer Banking
GiftCommon Stock 7,709 $0.00 $0.00
Disclosure

SEC source: 0001127602-23-005230 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,464

F1 · shares: Transaction represents the transfer of 7,709 shares by the Reporting Person of Issuer common stock by bona fide gift.

Read SEC document
December 23, 2022 Filed Dec 28, 2022 22:59 UTC Exercise / conversionStock Option (right to buy) · Derivative 132,000 $0.00 Strike: $3.48 $0.00
Disclosure

SEC source: 0001127602-22-028328 · form4.xml · derivative · entry 4

Morris John C. · CIK 0001431297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 132,000 shares

Expires 2023-02-22

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_date: The option is fully exercisable.

Read SEC document
December 23, 2022 Filed Dec 28, 2022 22:59 UTC Tax withholdingCommon Stock 52,906 $3.48 $183,848.35
Disclosure

SEC source: 0001127602-22-028328 · form4.xml · nonDerivative · entry 2

Morris John C. · CIK 0001431297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,102

Read SEC document
December 23, 2022 Filed Dec 28, 2022 22:59 UTC Exercise / conversionCommon Stock 132,000 $3.48 $458,700.00
Disclosure

SEC source: 0001127602-22-028328 · form4.xml · nonDerivative · entry 1

Morris John C. · CIK 0001431297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,008

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.

Read SEC document
November 28, 2022 Filed Nov 29, 2022 20:02 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 38,322 $10.08 $386,293.42
Disclosure

SEC source: 0001127602-22-026510 · form4.xml · nonDerivative · entry 5

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,435

F2 · shares: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its 2014 Equity Incentive Plan to require the satisfaction of tax withholding obligations with respect to the Reporting Person to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $9.93 to $10.28. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
November 28, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
SaleCommon Stock 22,392 $10.08 $225,812.12
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · nonDerivative · entry 6

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,497

F2 · shares: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its 2014 Equity Incentive Plan to require the satisfaction of tax withholding obligations with respect to the Reporting Person to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $9.92 to $10.30. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
November 28, 2022 Filed Nov 30, 2022 01:14 UTC
Stack FergalSVP, Corporate Controller
SaleCommon Stock 6,240 $10.09 $62,959.73
Disclosure

SEC source: 0001127602-22-026513 · form4.xml · nonDerivative · entry 5

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,329

F2 · shares: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its 2014 Equity Incentive Plan to require the satisfaction of tax withholding obligations with respect to the Reporting Person to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $9.93 to $10.30. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
November 28, 2022 Filed Nov 30, 2022 01:19 UTC
Momen RonnieBank-Chief of Consumer Banking
SaleCommon Stock 28,607 $10.08 $288,435.80
Disclosure

SEC source: 0001127602-22-026514 · form4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,173

F3 · shares: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its 2014 Equity Incentive Plan to require the satisfaction of tax withholding obligations with respect to the Reporting Person to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F4 · price: This transaction was executed in multiple trades during the day at prices ranging from $9.93 to $10.28. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
November 28, 2022 Filed Nov 30, 2022 01:12 UTC
PACE BRANDONChief Administrative Officer
SaleCommon Stock 21,342 $10.08 $215,219.13
Disclosure

SEC source: 0001127602-22-026512 · form4.xml · nonDerivative · entry 7

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,078

F3 · shares: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its 2014 Equity Incentive Plan to require the satisfaction of tax withholding obligations with respect to the Reporting Person to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F4 · price: This transaction was executed in multiple trades during the day at prices ranging from $9.93 to $10.29. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
November 25, 2022 Filed Nov 29, 2022 20:02 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,279 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026510 · form4.xml · derivative · entry 9

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,513

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.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2022 Filed Nov 29, 2022 20:02 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,487 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026510 · form4.xml · derivative · entry 8

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,436

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.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2022 Filed Nov 29, 2022 20:02 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 36,058 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026510 · form4.xml · derivative · entry 7

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,058

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.

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.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2022 Filed Nov 29, 2022 20:02 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 23,777 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026510 · form4.xml · derivative · entry 6

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,664

Underlying: Common Stock · 23,777 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 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.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2022 Filed Nov 29, 2022 20:02 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 4,279 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026510 · form4.xml · nonDerivative · entry 4

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,757

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
November 25, 2022 Filed Nov 29, 2022 20:02 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 5,487 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026510 · form4.xml · nonDerivative · entry 3

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,478

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
November 25, 2022 Filed Nov 29, 2022 20:02 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 36,058 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026510 · form4.xml · nonDerivative · entry 2

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,991

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
November 25, 2022 Filed Nov 29, 2022 20:02 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 23,777 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026510 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,933

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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,279 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · derivative · entry 11

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,513

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.

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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,487 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · derivative · entry 10

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,436

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.

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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 18,029 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · derivative · entry 9

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,030

Underlying: Common Stock · 18,029 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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,298 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · derivative · entry 8

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,490

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.

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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,493 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · derivative · entry 7

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,493

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.

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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 4,279 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · nonDerivative · entry 5

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,889

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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 5,487 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · nonDerivative · entry 4

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,610

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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 18,029 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · nonDerivative · entry 3

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,123

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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 6,298 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · nonDerivative · entry 2

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,094

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
November 25, 2022 Filed Nov 29, 2022 20:05 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026511 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,796

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
November 25, 2022 Filed Nov 30, 2022 01:14 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,118 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026513 · form4.xml · derivative · entry 9

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,059

Underlying: Common Stock · 3,118 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.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2022 Filed Nov 30, 2022 01:14 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,442 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026513 · form4.xml · derivative · entry 8

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,210

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.

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.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2022 Filed Nov 30, 2022 01:14 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,099 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026513 · form4.xml · derivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,492

Underlying: Common Stock · 5,099 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
November 25, 2022 Filed Nov 30, 2022 01:14 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,396 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026513 · form4.xml · derivative · entry 6

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,397

Underlying: Common Stock · 2,396 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
November 25, 2022 Filed Nov 30, 2022 01:14 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 3,118 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026513 · form4.xml · nonDerivative · entry 4

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,569

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
November 25, 2022 Filed Nov 30, 2022 01:14 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 4,442 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026513 · form4.xml · nonDerivative · entry 3

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,451

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
November 25, 2022 Filed Nov 30, 2022 01:14 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 5,099 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026513 · form4.xml · nonDerivative · entry 2

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,009

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
November 25, 2022 Filed Nov 30, 2022 01:14 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 2,396 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026513 · form4.xml · nonDerivative · entry 1

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,910

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
November 25, 2022 Filed Nov 30, 2022 01:21 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,253 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026515 · form4.xml · derivative · entry 12

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,274

Underlying: Common Stock · 8,253 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
November 25, 2022 Filed Nov 30, 2022 01:21 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,758 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026515 · form4.xml · derivative · entry 11

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,790

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
November 25, 2022 Filed Nov 30, 2022 01:21 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 110,177 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026515 · form4.xml · derivative · entry 10

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,177

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
November 25, 2022 Filed Nov 30, 2022 01:21 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,496 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-026515 · form4.xml · derivative · entry 9

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,479

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

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