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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 28, 2020 00:13 UTC
Momen RonnieChief Lending Officer
Tax withholdingCommon Stock 5,999 $5.62 $33,714.38
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · nonDerivative · entry 3

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,881

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 11,393 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · nonDerivative · entry 2

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,880

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 27, 2020 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,878 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · derivative · entry 15

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,294

Underlying: Common Stock · 5,878 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, 2020 Filed Aug 27, 2020 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 1,936 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · derivative · entry 14

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,686

Underlying: Common Stock · 1,936 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
August 25, 2020 Filed Aug 27, 2020 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,691 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · derivative · entry 13

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,910

Underlying: Common Stock · 5,691 shares

Expires not disclosed

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

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

F6 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2020 Filed Aug 27, 2020 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,172 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · derivative · entry 12

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,031

Underlying: Common Stock · 3,172 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 27, 2020 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,753 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · derivative · entry 11

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,505

Underlying: Common Stock · 2,753 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 February 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 27, 2020 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Tax withholdingCommon Stock 3,095 $5.62 $17,393.90
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 10

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,448

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 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionCommon Stock 5,878 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 9

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,543

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 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Tax withholdingCommon Stock 1,020 $5.62 $5,732.40
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 8

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,665

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 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionCommon Stock 1,936 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 7

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,685

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 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Tax withholdingCommon Stock 2,997 $5.62 $16,843.14
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 6

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,749

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 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionCommon Stock 5,691 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 5

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,746

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 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Tax withholdingCommon Stock 1,671 $5.62 $9,391.02
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 4

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,055

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 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionCommon Stock 3,172 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 3

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,726

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 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Tax withholdingCommon Stock 1,450 $5.53 $8,018.50
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 2

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,554

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 23:45 UTC
PACE BRANDONGeneral Counsel and Secretary
Exercise / conversionCommon Stock 2,753 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024343 · form4.xml · nonDerivative · entry 1

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,004

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 23:37 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,298 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · derivative · entry 12

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,172

Underlying: Common Stock · 6,298 shares

Expires not disclosed

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

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

F7 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable

Read SEC document
August 25, 2020 Filed Aug 27, 2020 23:37 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 1,530 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · derivative · entry 11

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,647

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.

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, 2020 Filed Aug 27, 2020 23:37 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,492 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · derivative · entry 10

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,929

Underlying: Common Stock · 4,492 shares

Expires not disclosed

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

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

F5 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable

Read SEC document
August 25, 2020 Filed Aug 27, 2020 23:37 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 14,837 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · derivative · entry 9

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,858

Underlying: Common Stock · 14,837 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 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, 2020 Filed Aug 27, 2020 23:37 UTC
Koohestani BahmanChief Technology Officer
Tax withholdingCommon Stock 3,316 $5.62 $18,635.92
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · nonDerivative · entry 8

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,995

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 23:37 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionCommon Stock 6,298 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · nonDerivative · entry 7

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,311

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 23:37 UTC
Koohestani BahmanChief Technology Officer
Tax withholdingCommon Stock 807 $5.62 $4,535.34
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · nonDerivative · entry 6

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,013

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 23:37 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionCommon Stock 1,530 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · nonDerivative · entry 5

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,820

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 23:37 UTC
Koohestani BahmanChief Technology Officer
Tax withholdingCommon Stock 2,366 $5.62 $13,296.92
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · nonDerivative · entry 4

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,290

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 23:37 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionCommon Stock 4,492 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · nonDerivative · entry 3

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,656

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 23:37 UTC
Koohestani BahmanChief Technology Officer
Tax withholdingCommon Stock 7,812 $5.62 $43,903.44
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · nonDerivative · entry 2

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,164

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 23:37 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionCommon Stock 14,837 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024342 · form4.xml · nonDerivative · entry 1

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,976

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 29, 2020 Filed Aug 28, 2020 00:13 UTC
Momen RonnieChief Lending Officer
GiftCommon Stock 3,423 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-024344 · form4.xml · nonDerivative · entry 1

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,487

F1 · shares: Transaction represents the transfer of 3,423 shares by the reporting person of Issuer common stock by bona fide gift.

Read SEC document
May 28, 2020 Filed Jun 2, 2020 01:30 UTC GrantCommon Stock 25,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018316 · form4.xml · nonDerivative · entry 1

Mayopoulos Timothy J · CIK 0001462553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,952

F1 · shares: Represents the annual 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 quarterly over a one-year period beginning on May 28, 2020, subject to continued service through each vesting date.

Read SEC document
May 28, 2020 Filed Jun 2, 2020 01:21 UTC GrantCommon Stock 25,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018310 · form4.xml · nonDerivative · entry 1

Morris John C. · CIK 0001431297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,952

F1 · shares: Represents the annual 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 quarterly over a one-year period beginning on May 28, 2020, subject to continued service through each vesting date.

Read SEC document
May 28, 2020 Filed Jun 2, 2020 01:47 UTC GrantCommon Stock 25,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018322 · form4.xml · nonDerivative · entry 1

McCORD PATRICIA J · CIK 0001393519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,952

F1 · shares: Represents the annual 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 quarterly over a one-year period beginning on May 28, 2020, subject to continued service through each vesting date.

Read SEC document
May 28, 2020 Filed Jun 2, 2020 01:38 UTC GrantCommon Stock 25,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018320 · form4.xml · nonDerivative · entry 1

Athey Susan C · CIK 0001660939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,952

F1 · shares: Represents the annual 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 quarterly over a one-year period beginning on May 28, 2020, subject to continued service through each vesting date.

Read SEC document
May 28, 2020 Filed Jun 2, 2020 01:32 UTC GrantCommon Stock 25,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018318 · form4.xml · nonDerivative · entry 1

DENMAN KENNETH D · CIK 0001254779 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,952

F1 · shares: Represents the annual 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 quarterly over a one-year period beginning on May 28, 2020, subject to continued service through each vesting date.

Read SEC document
May 28, 2020 Filed Jun 2, 2020 01:27 UTC GrantCommon Stock 25,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018314 · form4.xml · nonDerivative · entry 1

ZEISSER MICHAEL P · CIK 0001267951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,952

F1 · shares: Represents the annual 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 quarterly over a one-year period beginning on May 28, 2020, subject to continued service through each vesting date.

Read SEC document
May 28, 2020 Filed Jun 2, 2020 01:23 UTC GrantCommon Stock 25,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018312 · form4.xml · nonDerivative · entry 1

Williams Simon · CIK 0001328274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,952

F1 · balance_after: Represents the annual 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 quarterly over a one-year period beginning on May 28, 2020, subject to continued service through each vesting date.

Read SEC document
May 28, 2020 Filed Jun 2, 2020 01:05 UTC GrantCommon Stock 25,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018308 · form4.xml · nonDerivative · entry 1

Ciporin Daniel T · CIK 0001295750 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,952

F1 · shares: Represents the annual 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 quarterly over a one-year period beginning on May 28, 2020, subject to continued service through each vesting date.

Read SEC document
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,298 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · derivative · entry 18

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,470

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.

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
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,057 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · derivative · entry 17

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,177

Underlying: Common Stock · 3,057 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
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,493 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · derivative · entry 16

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,421

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
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,233 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · derivative · entry 15

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,865

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.

F6 · 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
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,459 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · derivative · entry 14

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,296

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.

F5 · 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
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,734 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · derivative · entry 13

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,471

Underlying: Common Stock · 4,734 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 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
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Tax withholdingCommon Stock 3,379 $5.26 $17,773.54
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 12

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,494

F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 6,298 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 11

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,873

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

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

Read SEC document
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Tax withholdingCommon Stock 1,642 $5.26 $8,636.92
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 10

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,575

F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 3,057 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 9

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,217

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

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

Read SEC document
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Tax withholdingCommon Stock 2,412 $5.26 $12,687.12
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 8

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,160

F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.

Read SEC document
May 25, 2020 Filed May 27, 2020 20:39 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 7

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,572

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.