Tapewire

Nasdaq · USD

HAPN

Happen, Inc.

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4526
SEC CIK
0001409970
Parsed reports
720

Last 12 months

Inside the activity.

0 purchase rows · 29 sale rows

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

Latest available

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
May 25, 2021 Filed May 27, 2021 22:36 UTC
Koohestani BahmanBank-Chief Technology Officer
Exercise / conversionCommon Stock 14,837 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-018246 · form4.xml · nonDerivative · entry 1

Koohestani Bahman · CIK 0001406777 · Bank-Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,545

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 21, 2021 Filed May 24, 2021 18:47 UTC
Kay ValerieBank-Chief Capital Officer
SaleCommon Stock 2,346 $12.79 $30,011.44
Disclosure

SEC source: 0001127602-21-017916 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,280

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

F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $12.63 to $13.01. 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
May 20, 2021 Filed May 24, 2021 22:44 UTC PurchaseCommon Stock 1,000 $12.40 $12,400.00
Disclosure

SEC source: 0001127602-21-017914 · form4.xml · nonDerivative · entry 1

LANDON ALLAN R · CIK 0001204667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,589

Read SEC document
May 13, 2021 Filed May 14, 2021 23:23 UTC PurchaseCommon Stock 750 $12.00 $9,000.00
Disclosure

SEC source: 0001127602-21-016926 · form4.xml · nonDerivative · entry 2

LANDON ALLAN R · CIK 0001204667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,589

Read SEC document
May 12, 2021 Filed May 14, 2021 23:23 UTC PurchaseCommon Stock 750 $12.25 $9,187.50
Disclosure

SEC source: 0001127602-21-016926 · form4.xml · nonDerivative · entry 1

LANDON ALLAN R · CIK 0001204667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,839

Read SEC document
May 11, 2021 Filed May 12, 2021 22:12 UTC PurchaseCommon Stock 1,000 $12.50 $12,500.00
Disclosure

SEC source: 0001127602-21-016439 · form4.xml · nonDerivative · entry 2

LANDON ALLAN R · CIK 0001204667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,089

Read SEC document
May 10, 2021 Filed May 12, 2021 22:12 UTC PurchaseCommon Stock 2,500 $13.51 $33,786.75
Disclosure

SEC source: 0001127602-21-016439 · form4.xml · nonDerivative · entry 1

LANDON ALLAN R · CIK 0001204667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,089

F1 · price: This transaction was executed in multiple trades during the date at prices ranging from $13.50 to $13.55. 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
May 07, 2021 Filed May 28, 2021 00:43 UTC
Momen RonnieBank-Chief of Consumer Banking
GiftCommon Stock 3,423 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-018263 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,448

F1 · shares: Transaction represents the transfer of 3,424 shares by the reporting person of Issuer common stock by bona fide gift.

Read SEC document
May 06, 2021 Filed May 11, 2021 01:07 UTC PurchaseCommon Stock 2,500 $13.82 $34,550.25
Disclosure

SEC source: 0001127602-21-016127 · form4.xml · nonDerivative · entry 1

LANDON ALLAN R · CIK 0001204667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,589

F1 · price: This transaction was executed in multiple trades during the date at prices ranging from $13.62 to $13.96. 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
April 21, 2021 Filed Apr 23, 2021 18:26 UTC
Kay ValerieBank-Chief Capital Officer
SaleCommon Stock 2,215 $13.55 $30,012.81
Disclosure

SEC source: 0001127602-21-014349 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,626

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

Read SEC document
April 07, 2021 Filed Apr 9, 2021 20:44 UTC SaleCommon Stock 6,249 $16.00 $100,014.62
Disclosure

SEC source: 0001127602-21-013568 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 779,229

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

F2 · kind: Proceeds to be used by the Reporting Person to satisfy tax obligations in connection with an earlier exercise of LendingClub stock options.

F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $15.80 to $16.19. 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
March 22, 2021 Filed Mar 24, 2021 18:33 UTC
Kay ValerieBank-Chief Capital Officer
SaleCommon Stock 1,333 $22.51 $30,004.36
Disclosure

SEC source: 0001127602-21-011943 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,841

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

F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $21.75 to $22.53. 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
March 19, 2021 Filed Mar 23, 2021 23:28 UTC Exercise / conversionStock Option (right to buy) · Derivative 52,667 $0.00 Strike: $3.48 $0.00
Disclosure

SEC source: 0001127602-21-011866 · form4.xml · derivative · entry 3

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,333

Underlying: Common Stock · 52,667 shares

Expires 2022-10-16

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_date: The option is fully exercisable.

Read SEC document
March 19, 2021 Filed Mar 23, 2021 23:28 UTC Tax withholdingCommon Stock 19,293 $21.72 $419,043.96
Disclosure

SEC source: 0001127602-21-011866 · form4.xml · nonDerivative · entry 2

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 785,478

Read SEC document
March 19, 2021 Filed Mar 23, 2021 23:28 UTC Exercise / conversionCommon Stock 52,667 $3.48 $183,017.83
Disclosure

SEC source: 0001127602-21-011866 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 804,771

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

Read SEC document
March 09, 2021 Filed Mar 11, 2021 18:43 UTC
ARMSTRONG ANNIEChief Risk Officer
GrantRestricted Stock Unit (RSU) · Derivative 65,845 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-010285 · form4.xml · derivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,845

Underlying: Common Stock · 65,845 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

Read SEC document
March 09, 2021 Filed Mar 11, 2021 19:04 UTC
Kay ValerieBank-Chief Capital Officer
GrantRestricted Stock Unit (RSU) · Derivative 65,845 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-010299 · form4.xml · derivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,845

Underlying: Common Stock · 65,845 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

Read SEC document
March 09, 2021 Filed Mar 11, 2021 23:53 UTC
Stack FergalSVP, Corporate Controller
GrantRestricted Stock Unit (RSU) · Derivative 53,303 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-010291 · form4.xml · derivative · entry 1

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,303

Underlying: Common Stock · 53,303 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

Read SEC document
March 09, 2021 Filed Mar 12, 2021 00:01 UTC
CASEY THOMAS WChief Financial Officer
GrantRestricted Stock Unit (RSU) · Derivative 146,322 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-010297 · form4.xml · derivative · entry 1

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,322

Underlying: Common Stock · 146,322 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

Read SEC document
March 09, 2021 Filed Mar 11, 2021 23:59 UTC GrantRestricted Stock Unit (RSU) · Derivative 141,096 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-010295 · form4.xml · derivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,096

Underlying: Common Stock · 141,096 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

Read SEC document
March 09, 2021 Filed Mar 11, 2021 23:56 UTC
Momen RonnieBank-Chief of Consumer Banking
GrantRestricted Stock Unit (RSU) · Derivative 117,057 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-010293 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,057

Underlying: Common Stock · 117,057 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

Read SEC document
March 09, 2021 Filed Mar 11, 2021 23:50 UTC
PACE BRANDONChief Administrative Officer
GrantRestricted Stock Unit (RSU) · Derivative 73,161 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-010289 · form4.xml · derivative · entry 1

PACE BRANDON · CIK 0001771959 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,161

Underlying: Common Stock · 73,161 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

Read SEC document
March 09, 2021 Filed Mar 11, 2021 23:46 UTC
Koohestani BahmanBank-Chief Technology Officer
GrantRestricted Stock Unit (RSU) · Derivative 52,676 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-010287 · form4.xml · derivative · entry 1

Koohestani Bahman · CIK 0001406777 · Bank-Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,676

Underlying: Common Stock · 52,676 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 00:48 UTC SaleCommon Stock 8,523 $11.73 $100,000.36
Disclosure

SEC source: 0001127602-21-009475 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 752,104

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

F2 · kind: Proceeds to be used by the Reporting Person to satisfy tax obligations in connection with an earlier exercise of LendingClub stock options.

F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $11.64 to $11.81. 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
March 02, 2021 Filed Mar 4, 2021 18:32 UTC
Kay ValerieBank-Chief Capital Officer
SaleCommon Stock 2,560 $11.72 $30,001.92
Disclosure

SEC source: 0001127602-21-009464 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,174

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

F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $11.67 to $11.78. 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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,298 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · derivative · entry 15

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,576

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
February 25, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 1,530 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · derivative · entry 14

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,588

Underlying: Common Stock · 1,530 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, 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
February 25, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,493 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · derivative · entry 13

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,943

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.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,233 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · derivative · entry 12

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,166

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
February 25, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,459 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · derivative · entry 11

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,919

Underlying: Common Stock · 2,459 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
February 25, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 3,376 $11.99 $40,478.24
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 10

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,734

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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 6,298 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 9

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,110

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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 822 $11.99 $9,855.78
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 8

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,812

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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 1,530 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 7

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,634

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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 2,413 $11.99 $28,931.87
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 6

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,104

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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 5

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,517

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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 3,899 $11.99 $46,749.01
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 4

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,024

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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 7,233 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 3

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,923

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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Tax withholdingCommon Stock 1,343 $10.86 $14,584.98
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 2

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,690

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, 2021 Filed Mar 1, 2021 20:42 UTC
Kay ValerieBank-Chief Capital Officer
Exercise / conversionCommon Stock 2,459 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008553 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Bank-Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,033

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, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,098 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · derivative · entry 12

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,181

Underlying: Common Stock · 5,098 shares

Expires not disclosed

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

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

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
February 25, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,396 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · derivative · entry 11

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,170

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
February 25, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,545 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · derivative · entry 10

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,180

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
February 25, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,611 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · derivative · entry 9

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,222

Underlying: Common Stock · 4,611 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
February 25, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 2,007 $11.99 $24,063.93
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · nonDerivative · entry 8

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,005

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, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 5,098 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · nonDerivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,012

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, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 1,026 $11.99 $12,301.74
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · nonDerivative · entry 6

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,914

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, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 2,396 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · nonDerivative · entry 5

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,940

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, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 1,598 $11.99 $19,160.02
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · nonDerivative · entry 4

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,544

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, 2021 Filed Mar 2, 2021 00:26 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 3,545 $0.00 $0.00
Disclosure

SEC source: 0001127602-21-008537 · form4.xml · nonDerivative · entry 3

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,142

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.