Tapewire

Nasdaq · USD

HAPN

Happen, Inc.

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Tapewire entity
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, 2022 Filed Mar 2, 2022 00:43 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 5,099 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007468 · form4.xml · nonDerivative · entry 3

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,537

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 / conversionCommon Stock 2,397 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007468 · form4.xml · nonDerivative · entry 2

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,438

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 / conversionCommon Stock 3,546 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007468 · form4.xml · nonDerivative · entry 1

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,041

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 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 12,194 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,548

Underlying: Common Stock · 12,194 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, 2022 Filed Mar 2, 2022 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 12,596 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,768

Underlying: Common Stock · 12,596 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.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2022 Filed Mar 2, 2022 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,986 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,943

Underlying: Common Stock · 8,986 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, 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, 2022 Filed Mar 2, 2022 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,195 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,195 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, 2018, 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, 2022 Filed Mar 2, 2022 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Tax withholdingCommon Stock 4,799 $18.06 $86,669.94
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,566

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
February 25, 2022 Filed Mar 2, 2022 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Exercise / conversionCommon Stock 12,194 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,365

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 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Tax withholdingCommon Stock 5,209 $18.06 $94,074.54
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,171

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
February 25, 2022 Filed Mar 2, 2022 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Exercise / conversionCommon Stock 12,596 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,380

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 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Tax withholdingCommon Stock 4,056 $18.06 $73,251.36
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,784

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
February 25, 2022 Filed Mar 2, 2022 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Exercise / conversionCommon Stock 8,986 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,840

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 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Tax withholdingCommon Stock 5,263 $18.06 $95,049.78
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,854

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
February 25, 2022 Filed Mar 2, 2022 00:50 UTC
CASEY THOMAS WDirector · Chief Financial Officer
Exercise / conversionCommon Stock 11,195 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007474 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,117

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 00:47 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,758 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · derivative · entry 12

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,064

Underlying: Common Stock · 11,758 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

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

F5 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2022 Filed Mar 2, 2022 00:47 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,496 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · derivative · entry 11

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,966

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.

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 00:47 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,984 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · derivative · entry 10

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,937

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.

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 00:47 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,329 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · derivative · entry 9

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,329 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 00:47 UTC
Sanborn ScottDirector · CEO
Tax withholdingCommon Stock 6,191 $18.06 $111,809.46
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · nonDerivative · entry 8

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 880,341

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
February 25, 2022 Filed Mar 2, 2022 00:47 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 11,758 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · nonDerivative · entry 7

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 886,532

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 00:47 UTC
Sanborn ScottDirector · CEO
Disposition to issuerCommon Stock 13,496 $18.06 $243,737.76
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · nonDerivative · entry 6

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 874,774

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
February 25, 2022 Filed Mar 2, 2022 00:47 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 13,496 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · nonDerivative · entry 5

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 888,270

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 00:47 UTC
Sanborn ScottDirector · CEO
Tax withholdingCommon Stock 5,257 $18.06 $94,941.42
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · nonDerivative · entry 4

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 874,774

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
February 25, 2022 Filed Mar 2, 2022 00:47 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 9,984 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · nonDerivative · entry 3

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 880,031

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 00:47 UTC
Sanborn ScottDirector · CEO
Tax withholdingCommon Stock 4,912 $18.06 $88,710.72
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · nonDerivative · entry 2

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 870,047

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
February 25, 2022 Filed Mar 2, 2022 00:47 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 9,329 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007472 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 874,959

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 00:46 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,755 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007470 · form4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,038

Underlying: Common Stock · 9,755 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

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 00:46 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,718 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007470 · form4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,743

Underlying: Common Stock · 6,718 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

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 00:46 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,991 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007470 · form4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,962

Underlying: Common Stock · 5,991 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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

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 00:46 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,393 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007470 · form4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,787

Underlying: Common Stock · 11,393 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 November 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 00:46 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 9,755 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007470 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,485

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 00:46 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 6,718 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007470 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,730

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 00:46 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 5,991 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007470 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,012

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 00:46 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 11,393 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007470 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,021

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 00:41 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,097 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007466 · form4.xml · derivative · entry 9

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,774

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.

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.

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February 25, 2022 Filed Mar 2, 2022 00:41 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,879 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007466 · form4.xml · derivative · entry 8

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,025

Underlying: Common Stock · 5,879 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 00:41 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,691 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007466 · form4.xml · derivative · entry 7

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,765

Underlying: Common Stock · 5,691 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 00:41 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,173 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007466 · form4.xml · derivative · entry 6

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,173 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 00:41 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 6,097 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007466 · form4.xml · nonDerivative · entry 4

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,272

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 00:41 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 5,879 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007466 · form4.xml · nonDerivative · entry 3

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,175

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 00:41 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 5,691 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007466 · form4.xml · nonDerivative · entry 2

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,296

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 00:41 UTC
PACE BRANDONChief Administrative Officer
Exercise / conversionCommon Stock 3,173 $0.00 $0.00
Disclosure

SEC source: 0001127602-22-007466 · form4.xml · nonDerivative · entry 1

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,605

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 24, 2022 Filed Mar 1, 2022 00:02 UTC PurchaseCommon Stock 14,332 $16.19 $232,006.42
Disclosure

SEC source: 0001127602-22-007162 · form4.xml · nonDerivative · entry 1

ZEISSER MICHAEL P · CIK 0001267951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,258

F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $15.95 to $16.75. 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.

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February 11, 2022 Filed Feb 15, 2022 23:57 UTC
CASEY THOMAS WDirector · Chief Financial Officer
PurchaseCommon Stock 2,750 $17.98 $49,445.00
Disclosure

SEC source: 0001127602-22-005140 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Casey Family Revocable Trust

Disclosed balance after: 12,750

Read SEC document
February 07, 2022 Filed Feb 9, 2022 19:47 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 3,317 $17.37 $57,616.29
Disclosure

SEC source: 0001127602-22-004061 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,403

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

Read SEC document
January 20, 2022 Filed Jan 24, 2022 18:45 UTC
ARMSTRONG ANNIEChief Risk Officer
GrantRestricted Stock Unit (RSU) · Derivative 144,232 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-001976 · form4.xml · derivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,232

Underlying: Common Stock · 144,232 shares

Expires not disclosed

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.

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for the period of January 2020 through December 2021. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
January 20, 2022 Filed Jan 24, 2022 18:55 UTC
Kay ValerieBank-Chief Capital Officer
GrantRestricted Stock Unit (RSU) · Derivative 72,117 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-001986 · form4.xml · derivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,117

Underlying: Common Stock · 72,117 shares

Expires not disclosed

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.

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for the period of January 2020 through December 2021. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
January 20, 2022 Filed Jan 24, 2022 23:53 UTC
CASEY THOMAS WDirector · Chief Financial Officer
GrantRestricted Stock Unit (RSU) · Derivative 144,232 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-001984 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,232

Underlying: Common Stock · 144,232 shares

Expires not disclosed

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.

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for the period of January 2020 through December 2021. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
January 20, 2022 Filed Jan 24, 2022 23:49 UTC
Momen RonnieBank-Chief of Consumer Banking
GrantRestricted Stock Unit (RSU) · Derivative 76,924 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-22-001980 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,924

Underlying: Common Stock · 76,924 shares

Expires not disclosed

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.

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for the period of January 2020 through December 2021. The RSUs will vest 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.

F3 · 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.