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

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 25, 2022 Filed May 27, 2022 23:18 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 5,691 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015912 · form4.xml · nonDerivative · entry 1

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,300

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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,252 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · derivative · entry 15

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,780

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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,758 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · derivative · entry 14

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,306

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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 110,176 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · derivative · entry 13

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,531

Underlying: Common Stock · 110,176 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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,496 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · derivative · entry 12

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,470

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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,984 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · derivative · entry 11

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,953

Underlying: Common Stock · 9,984 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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Tax withholdingCommon Stock 4,345 $12.71 $55,224.95
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 10

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 946,710

F2 · 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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 8,252 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 9

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 951,055

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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Tax withholdingCommon Stock 6,191 $12.71 $78,687.61
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 8

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 942,803

F2 · 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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 11,758 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 7

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 948,994

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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Tax withholdingCommon Stock 58,008 $12.71 $737,281.68
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 6

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 937,236

F2 · 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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 110,176 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 5

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 995,244

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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Disposition to issuerCommon Stock 13,496 $12.71 $171,534.16
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 4

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 885,068

F3 · shares: Represents the settlement of RSUs granted on February 26, 2020, in cash rather than in shares of the Issuer's common stock.

Read SEC document
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 13,496 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 3

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 898,564

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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Tax withholdingCommon Stock 5,257 $12.71 $66,816.47
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 2

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 885,068

F2 · 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
May 25, 2022 Filed May 27, 2022 23:24 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 9,984 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015916 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 890,325

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
May 09, 2022 Filed May 11, 2022 19:36 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 1,290 $14.49 $18,692.10
Disclosure

SEC source: 0001127602-22-014198 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,769

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

Read SEC document
April 28, 2022 Filed May 2, 2022 19:24 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 2,027 $17.00 $34,459.00
Disclosure

SEC source: 0001127602-22-012926 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,059

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

Read SEC document
April 07, 2022 Filed Apr 11, 2022 20:11 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 1,290 $14.50 $18,705.00
Disclosure

SEC source: 0001127602-22-011865 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,086

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

Read SEC document
March 13, 2022 Filed Mar 15, 2022 20:23 UTC
ARMSTRONG ANNIEChief Risk Officer
GrantRestricted Stock Unit (RSU) · Derivative 51,350 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-009391 · form4.xml · derivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,350

Underlying: Common Stock · 51,350 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest 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.

Read SEC document
March 13, 2022 Filed Mar 15, 2022 20:28 UTC
Kay ValerieBank-Chief Capital Officer
GrantRestricted Stock Unit (RSU) · Derivative 51,350 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-009393 · form4.xml · derivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,350

Underlying: Common Stock · 51,350 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest 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.

Read SEC document
March 13, 2022 Filed Mar 16, 2022 00:35 UTC
Stack FergalSVP, Corporate Controller
GrantRestricted Stock Unit (RSU) · Derivative 37,412 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-009397 · form4.xml · derivative · entry 1

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,412

Underlying: Common Stock · 37,412 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest 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.

Read SEC document
March 13, 2022 Filed Mar 16, 2022 00:33 UTC
Sanborn ScottDirector · CEO
GrantRestricted Stock Unit (RSU) · Derivative 99,032 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-009396 · form4.xml · derivative · entry 1

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,032

Underlying: Common Stock · 99,032 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest 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.

Read SEC document
March 13, 2022 Filed Mar 16, 2022 00:31 UTC
PACE BRANDONChief Administrative Officer
GrantRestricted Stock Unit (RSU) · Derivative 51,350 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-009395 · form4.xml · derivative · entry 1

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,350

Underlying: Common Stock · 51,350 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest 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.

Read SEC document
March 13, 2022 Filed Mar 16, 2022 00:30 UTC
Momen RonnieBank-Chief of Consumer Banking
GrantRestricted Stock Unit (RSU) · Derivative 123,240 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-009394 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,240

Underlying: Common Stock · 123,240 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest 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.

Read SEC document
March 13, 2022 Filed Mar 16, 2022 00:26 UTC
CASEY THOMAS WDirector · Chief Financial Officer
GrantRestricted Stock Unit (RSU) · Derivative 102,700 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-009392 · form4.xml · derivative · entry 1

CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,700

Underlying: Common Stock · 102,700 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.

F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest 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.

Read SEC document
March 07, 2022 Filed Mar 9, 2022 18:40 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 3,317 $15.47 $51,313.99
Disclosure

SEC source: 0001127602-22-008804 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,376

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

Read SEC document
March 02, 2022 Filed May 27, 2022 23:27 UTC
CASEY THOMAS WDirector · Chief Financial Officer
GiftCommon Stock 25,644 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-015917 · form4.xml · nonDerivative · entry 1

CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,922

F1 · shares: Transaction represents the transfer of 25,644 shares by the Reporting Person of Issuer common stock by bona fide gift.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 19:40 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 14,974 $18.60 $278,501.43
Disclosure

SEC source: 0001127602-22-007464 · form4.xml · nonDerivative · entry 3

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,693

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 $18.24 to $19.04. 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
February 28, 2022 Filed Mar 1, 2022 19:52 UTC
Kay ValerieBank-Chief Capital Officer
SaleCommon Stock 12,688 $18.59 $235,836.93
Disclosure

SEC source: 0001127602-22-007476 · form4.xml · nonDerivative · entry 5

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,555

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 $18.22 to $19.04. 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
February 28, 2022 Filed Mar 2, 2022 00:43 UTC
Stack FergalSVP, Corporate Controller
SaleCommon Stock 6,127 $18.58 $113,861.72
Disclosure

SEC source: 0001127602-22-007468 · form4.xml · nonDerivative · entry 5

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,852

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 $18.24 to $19.04. 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
February 28, 2022 Filed Mar 2, 2022 00:46 UTC
Momen RonnieBank-Chief of Consumer Banking
SaleCommon Stock 17,327 $18.58 $322,017.10
Disclosure

SEC source: 0001127602-22-007470 · form4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,158

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 $18.23 to $19.05. 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
February 28, 2022 Filed Mar 2, 2022 00:41 UTC
PACE BRANDONChief Administrative Officer
SaleCommon Stock 10,663 $18.59 $198,243.30
Disclosure

SEC source: 0001127602-22-007466 · form4.xml · nonDerivative · entry 5

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,609

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 $18.22 to $19.06. 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
February 25, 2022 Filed Mar 1, 2022 19:40 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,487 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007464 · form4.xml · derivative · entry 5

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,897

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.

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.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2022 Filed Mar 1, 2022 19:40 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 23,777 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007464 · form4.xml · derivative · entry 4

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,995

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
February 25, 2022 Filed Mar 1, 2022 19:40 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 5,487 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007464 · form4.xml · nonDerivative · entry 2

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,667

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, 2022 Filed Mar 1, 2022 19:40 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 23,777 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007464 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,180

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, 2022 Filed Mar 1, 2022 19:52 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,487 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007476 · form4.xml · derivative · entry 9

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,897

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
February 25, 2022 Filed Mar 1, 2022 19:52 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,298 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007476 · form4.xml · derivative · entry 8

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,384

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.

F7 · 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, 2022 Filed Mar 1, 2022 19:52 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,493 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007476 · form4.xml · derivative · entry 7

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,972

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.

F6 · 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, 2022 Filed Mar 1, 2022 19:52 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,233 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007476 · form4.xml · derivative · entry 6

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,234

Underlying: Common Stock · 7,233 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 August 25, 2018, 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, 2022 Filed Mar 1, 2022 19:52 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 5,487 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007476 · form4.xml · nonDerivative · entry 4

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,243

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, 2022 Filed Mar 1, 2022 19:52 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 6,298 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007476 · form4.xml · nonDerivative · entry 3

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,756

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, 2022 Filed Mar 1, 2022 19:52 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007476 · form4.xml · nonDerivative · entry 2

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,458

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, 2022 Filed Mar 1, 2022 19:52 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 7,233 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007476 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,965

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, 2022 Filed Mar 2, 2022 00:43 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,442 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007468 · form4.xml · derivative · entry 9

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,536

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.

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, 2022 Filed Mar 2, 2022 00:43 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,099 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007468 · form4.xml · derivative · entry 8

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,787

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.

F7 · 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, 2022 Filed Mar 2, 2022 00:43 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,397 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007468 · form4.xml · derivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,585

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.

F6 · 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, 2022 Filed Mar 2, 2022 00:43 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,546 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007468 · 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 · 3,546 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, 2018, 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, 2022 Filed Mar 2, 2022 00:43 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 4,442 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007468 · form4.xml · nonDerivative · entry 4

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,979

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.