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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

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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
November 25, 2021 Filed Nov 30, 2021 01:09 UTC
Momen RonnieBank-Chief of Consumer Banking
Tax withholdingCommon Stock 5,999 $38.07 $228,381.93
Disclosure

SEC source: 0001127602-21-029807 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,283

F3 · 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
November 25, 2021 Filed Nov 30, 2021 01:09 UTC
Momen RonnieBank-Chief of Consumer Banking
Exercise / conversionCommon Stock 11,394 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-029807 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,282

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 · 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 08, 2021 Filed Nov 10, 2021 18:17 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 3,686 $45.96 $169,408.56
Disclosure

SEC source: 0001127602-21-028851 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,338

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

Read SEC document
November 05, 2021 Filed Nov 30, 2021 00:56 UTC
PACE BRANDONChief Administrative Officer
GiftCommon Stock 1,753 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-029803 · form4.xml · nonDerivative · entry 1

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,651

F1 · shares: Transaction represents the transfer of 1,753 shares by the Reporting Person of Issuer common stock by bona fide gift.

Read SEC document
November 04, 2021 Filed Nov 30, 2021 01:09 UTC
Momen RonnieBank-Chief of Consumer Banking
GiftCommon Stock 4,808 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-029807 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,888

F1 · shares: Transaction represents the transfer of 4,808 shares by the Reporting Person of Issuer common stock by bona fide gift.

Read SEC document
October 07, 2021 Filed Oct 12, 2021 19:31 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 3,686 $29.19 $107,594.34
Disclosure

SEC source: 0001127602-21-026996 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,024

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

Read SEC document
September 24, 2021 Filed Sep 28, 2021 23:44 UTC GrantCommon Stock 1,775 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026013 · form4.xml · nonDerivative · entry 1

Mayopoulos Timothy J · CIK 0001462553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,775

F1 · shares: Represents a non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest in their entirety on June 1, 2022.

Read SEC document
September 24, 2021 Filed Sep 28, 2021 23:42 UTC GrantCommon Stock 1,775 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026011 · form4.xml · nonDerivative · entry 1

Morris John C. · CIK 0001431297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,775

F1 · shares: Represents a non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest in their entirety on June 1, 2022.

Read SEC document
September 24, 2021 Filed Sep 28, 2021 23:39 UTC GrantCommon Stock 1,775 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026009 · form4.xml · nonDerivative · entry 1

McCORD PATRICIA J · CIK 0001393519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,775

F1 · shares: Represents a non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest in their entirety on June 1, 2022.

Read SEC document
September 24, 2021 Filed Sep 28, 2021 23:33 UTC GrantCommon Stock 1,775 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026004 · form4.xml · nonDerivative · entry 1

LANDON ALLAN R · CIK 0001204667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,775

F1 · shares: Represents a non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest in their entirety on June 1, 2022.

Read SEC document
September 24, 2021 Filed Sep 28, 2021 23:36 UTC
Selleck ErinDirector
GrantCommon Stock 1,775 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026007 · form4.xml · nonDerivative · entry 1

Selleck Erin · CIK 0001644258 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,775

F1 · shares: Represents a non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest in their entirety on June 1, 2022.

Read SEC document
September 24, 2021 Filed Sep 28, 2021 23:30 UTC GrantCommon Stock 1,775 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-026002 · form4.xml · nonDerivative · entry 1

ZEISSER MICHAEL P · CIK 0001267951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,775

F1 · shares: Represents a non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest in their entirety on June 1, 2022.

Read SEC document
September 24, 2021 Filed Sep 28, 2021 23:26 UTC GrantCommon Stock 1,775 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-025999 · form4.xml · nonDerivative · entry 1

Athey Susan C · CIK 0001660939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,775

F1 · shares: Represents a non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest in their entirety on June 1, 2022.

Read SEC document
September 15, 2021 Filed Sep 17, 2021 23:28 UTC SaleCommon Stock 8,310 $29.20 $242,652.00
Disclosure

SEC source: 0001127602-21-025548 · form4.xml · nonDerivative · entry 1

Athey Susan C · CIK 0001660939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,689

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

Read SEC document
September 07, 2021 Filed Sep 9, 2021 17:49 UTC
ARMSTRONG ANNIEChief Risk Officer
SaleCommon Stock 3,686 $31.37 $115,629.82
Disclosure

SEC source: 0001127602-21-025086 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,710

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

Read SEC document
September 07, 2021 Filed Nov 30, 2021 01:33 UTC
CASEY THOMAS WDirector · Chief Financial Officer
GiftCommon Stock 40,000 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-029813 · 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 40,000 shares, initiated on September 3, 2021, by the Reporting Person of Issuer common stock by bona fide gift.

Read SEC document
September 03, 2021 Filed Sep 8, 2021 00:03 UTC PurchaseCommon Stock 1,937 $31.00 $60,047.00
Disclosure

SEC source: 0001127602-21-024960 · form4.xml · nonDerivative · entry 1

ZEISSER MICHAEL P · CIK 0001267951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,062

Read SEC document
August 25, 2021 Filed Aug 27, 2021 18:43 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,487 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024452 · form4.xml · derivative · entry 6

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,871

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.

F5 · 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
August 25, 2021 Filed Aug 27, 2021 18:43 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 23,777 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024452 · form4.xml · derivative · entry 5

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,550

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.

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

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2021 Filed Aug 27, 2021 18:43 UTC
ARMSTRONG ANNIEChief Risk Officer
Tax withholdingCommon Stock 2,721 $29.08 $79,126.68
Disclosure

SEC source: 0001127602-21-024452 · form4.xml · nonDerivative · entry 4

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,396

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
August 25, 2021 Filed Aug 27, 2021 18:43 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 5,487 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024452 · form4.xml · nonDerivative · entry 3

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,117

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
August 25, 2021 Filed Aug 27, 2021 18:43 UTC
ARMSTRONG ANNIEChief Risk Officer
Tax withholdingCommon Stock 11,789 $29.08 $342,824.12
Disclosure

SEC source: 0001127602-21-024452 · form4.xml · nonDerivative · entry 2

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,630

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
August 25, 2021 Filed Aug 27, 2021 18:43 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 23,777 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024452 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,419

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,487 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · derivative · entry 18

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,871

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.

F9 · 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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,298 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · derivative · entry 17

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,980

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.

F8 · 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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,493 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · derivative · entry 16

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,957

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.

F7 · 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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 1,529 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · derivative · entry 15

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,530

Underlying: Common Stock · 1,529 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, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,233 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · derivative · entry 14

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,700

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.

F5 · 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.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,460 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · derivative · entry 13

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,460 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 November 25, 2017, 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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 3,152 $29.08 $91,660.16
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 12

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,115

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 5,487 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 11

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,267

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 3,627 $29.08 $105,473.16
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 10

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,780

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 6,298 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 9

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,407

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 2,588 $29.08 $75,259.04
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 8

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,109

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 7

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,697

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 882 $29.08 $25,648.56
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 6

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,204

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 1,529 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 5

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,086

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 4,164 $29.08 $121,089.12
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 4

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,557

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 7,233 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 3

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,721

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 1,415 $29.00 $41,035.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 2

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,488

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
August 25, 2021 Filed Aug 27, 2021 18:59 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 2,460 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024465 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,903

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
August 25, 2021 Filed Aug 27, 2021 22:53 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,442 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024460 · form4.xml · derivative · entry 15

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,420

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.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2021 Filed Aug 27, 2021 22:53 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,099 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024460 · form4.xml · derivative · entry 14

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,984

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.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2021 Filed Aug 27, 2021 22:53 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,396 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024460 · form4.xml · derivative · entry 13

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,378

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.

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.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2021 Filed Aug 27, 2021 22:53 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,545 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024460 · form4.xml · derivative · entry 12

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,090

Underlying: Common Stock · 3,545 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, 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
August 25, 2021 Filed Aug 27, 2021 22:53 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,612 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024460 · form4.xml · derivative · entry 11

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,612 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on August 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
August 25, 2021 Filed Aug 27, 2021 22:53 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 1,748 $29.08 $50,831.84
Disclosure

SEC source: 0001127602-21-024460 · form4.xml · nonDerivative · entry 10

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,302

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
August 25, 2021 Filed Aug 27, 2021 22:53 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 4,442 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024460 · form4.xml · nonDerivative · entry 9

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,050

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
August 25, 2021 Filed Aug 27, 2021 22:53 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 2,007 $29.08 $58,363.56
Disclosure

SEC source: 0001127602-21-024460 · form4.xml · nonDerivative · entry 8

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,608

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
August 25, 2021 Filed Aug 27, 2021 22:53 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 5,099 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-024460 · form4.xml · nonDerivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,615

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.