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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
August 25, 2020 Filed Aug 27, 2020 23:35 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 5,098 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024341 · form4.xml · nonDerivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,432

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, 2020 Filed Aug 27, 2020 23:35 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 1,088 $5.62 $6,114.56
Disclosure

SEC source: 0001127602-20-024341 · form4.xml · nonDerivative · entry 6

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,334

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, 2020 Filed Aug 27, 2020 23:35 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 2,397 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024341 · form4.xml · nonDerivative · entry 5

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,422

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, 2020 Filed Aug 27, 2020 23:35 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 1,711 $5.62 $9,615.82
Disclosure

SEC source: 0001127602-20-024341 · form4.xml · nonDerivative · entry 4

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,025

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, 2020 Filed Aug 27, 2020 23:35 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 3,544 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024341 · form4.xml · nonDerivative · entry 3

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,736

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, 2020 Filed Aug 27, 2020 23:35 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 2,259 $5.53 $12,492.27
Disclosure

SEC source: 0001127602-20-024341 · form4.xml · nonDerivative · entry 2

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,192

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, 2020 Filed Aug 27, 2020 23:35 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 4,610 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024341 · form4.xml · nonDerivative · entry 1

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,451

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

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

Read SEC document
August 25, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,496 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · derivative · entry 18

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,940

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.

F9 · 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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 10,190 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · derivative · entry 17

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,950

Underlying: Common Stock · 10,190 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 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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,984 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · derivative · entry 16

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,841

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.

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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,381 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · derivative · entry 15

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,382

Underlying: Common Stock · 13,381 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, 2019, 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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,328 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · derivative · entry 14

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,971

Underlying: Common Stock · 9,328 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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,881 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · derivative · entry 13

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,762

Underlying: Common Stock · 6,881 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, 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, 2020 Filed Aug 28, 2020 00:15 UTC Tax withholdingCommon Stock 7,106 $5.62 $39,935.72
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 12

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 745,259

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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionCommon Stock 13,496 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 11

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 752,365

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
August 25, 2020 Filed Aug 28, 2020 00:15 UTC Tax withholdingCommon Stock 5,366 $5.62 $30,156.92
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 10

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 738,869

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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionCommon Stock 10,190 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 9

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 744,235

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, 2020 Filed Aug 28, 2020 00:15 UTC Tax withholdingCommon Stock 5,257 $5.62 $29,544.34
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 8

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 734,045

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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionCommon Stock 9,984 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 7

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 739,302

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, 2020 Filed Aug 28, 2020 00:15 UTC Tax withholdingCommon Stock 7,046 $5.62 $39,598.52
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 6

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 729,318

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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionCommon Stock 13,381 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 5

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 736,364

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, 2020 Filed Aug 28, 2020 00:15 UTC Tax withholdingCommon Stock 4,912 $5.62 $27,605.44
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 4

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 722,983

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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionCommon Stock 9,328 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 3

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 727,895

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, 2020 Filed Aug 28, 2020 00:15 UTC Tax withholdingCommon Stock 3,623 $5.53 $20,035.19
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 2

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 718,567

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, 2020 Filed Aug 28, 2020 00:15 UTC Exercise / conversionCommon Stock 6,881 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024345 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 722,190

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 12,596 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · derivative · entry 19

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,344

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.

F9 · 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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,058 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · derivative · entry 18

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,290

Underlying: Common Stock · 3,058 shares

Expires not disclosed

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

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

F8 · 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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,985 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · derivative · entry 17

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,857

Underlying: Common Stock · 8,985 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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,352 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · derivative · entry 16

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,353

Underlying: Common Stock · 5,352 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, 2019 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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,194 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · derivative · entry 15

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,165

Underlying: Common Stock · 11,194 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.

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,762 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · derivative · entry 14

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,762 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, 2016, 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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 5,970 $5.62 $33,551.40
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 12

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,901

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 12,596 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 11

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,871

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 1,557 $5.62 $8,750.34
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 10

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,275

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 3,058 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 9

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,832

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 4,574 $5.62 $25,705.88
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 8

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,774

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
August 25, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 8,985 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 7

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,348

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 2,762 $5.62 $15,522.44
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 6

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,363

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 5,352 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 5

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,125

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 5,777 $5.62 $32,466.74
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 4

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,773

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 11,194 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 3

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,550

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 1,436 $5.53 $7,941.08
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 2

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,356

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, 2020 Filed Aug 28, 2020 00:33 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 2,762 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 1

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,792

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, 2020 Filed Aug 28, 2020 00:13 UTC
Momen RonnieChief Lending Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,718 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · derivative · entry 10

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,051

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.

F2 · 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
August 25, 2020 Filed Aug 28, 2020 00:13 UTC
Momen RonnieChief Lending Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,990 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · derivative · entry 9

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,905

Underlying: Common Stock · 5,990 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.

F2 · 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
August 25, 2020 Filed Aug 28, 2020 00:13 UTC
Momen RonnieChief Lending Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,393 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · derivative · entry 8

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,147

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.

F2 · 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
August 25, 2020 Filed Aug 28, 2020 00:13 UTC
Momen RonnieChief Lending Officer
Tax withholdingCommon Stock 3,538 $5.62 $19,883.56
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · nonDerivative · entry 7

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,897

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
August 25, 2020 Filed Aug 28, 2020 00:13 UTC
Momen RonnieChief Lending Officer
Exercise / conversionCommon Stock 6,718 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · nonDerivative · entry 6

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,435

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
August 25, 2020 Filed Aug 28, 2020 00:13 UTC
Momen RonnieChief Lending Officer
Tax withholdingCommon Stock 3,154 $5.62 $17,725.48
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · nonDerivative · entry 5

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,717

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
August 25, 2020 Filed Aug 28, 2020 00:13 UTC
Momen RonnieChief Lending Officer
Exercise / conversionCommon Stock 5,990 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · nonDerivative · entry 4

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,871

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

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