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Nasdaq · USD

HAPN

Happen, Inc.

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4526
SEC CIK
0001409970
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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.
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MonthPurchasesSales
Nov 202501
Dec 202504
Jan 202601
Feb 202601
Mar 202601
Apr 202600
May 202602
Jun 202606
Jul 202604
Aug 202606
Sep 202603
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 25, 2020 Filed May 28, 2020 00:11 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionCommon Stock 3,057 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018018 · form4.xml · nonDerivative · entry 5

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,767

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 28, 2020 00:11 UTC
Koohestani BahmanChief Technology Officer
Tax withholdingCommon Stock 2,366 $5.26 $12,445.16
Disclosure

SEC source: 0001127602-20-018018 · form4.xml · nonDerivative · entry 4

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,710

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 28, 2020 00:11 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionCommon Stock 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018018 · form4.xml · nonDerivative · entry 3

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,076

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 28, 2020 00:11 UTC
Koohestani BahmanChief Technology Officer
Tax withholdingCommon Stock 7,812 $5.26 $41,091.12
Disclosure

SEC source: 0001127602-20-018018 · form4.xml · nonDerivative · entry 2

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,583

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 28, 2020 00:11 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionCommon Stock 14,837 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-018018 · form4.xml · nonDerivative · entry 1

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,395

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 12, 2020 Filed May 14, 2020 22:54 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 17,807 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-016660 · form4.xml · derivative · entry 3

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,807 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 vest as to 6.25% of the total shares quarterly, over a four-year period, beginning on May 12, 2016.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
May 12, 2020 Filed May 14, 2020 22:54 UTC Tax withholdingCommon Stock 9,376 $5.64 $52,880.64
Disclosure

SEC source: 0001127602-20-016660 · form4.xml · nonDerivative · entry 2

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,534

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 12, 2020 Filed May 14, 2020 22:54 UTC Exercise / conversionCommon Stock 17,807 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-016660 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 689,910

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 11, 2020 Filed May 13, 2020 18:10 UTC
Kay ValerieChief Capital Officer
SaleCommon Stock 1,900 $5.85 $11,115.00
Disclosure

SEC source: 0001127602-20-016475 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,546

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

Read SEC document
April 09, 2020 Filed Apr 13, 2020 16:24 UTC
Kay ValerieChief Capital Officer
SaleCommon Stock 1,900 $8.14 $15,466.00
Disclosure

SEC source: 0001127602-20-013632 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,446

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

Read SEC document
March 20, 2020 Filed Mar 23, 2020 17:06 UTC OtherMandatorily Convertible Non-Voting Preferred Stock, Series A · Derivative 195,628 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-006901 · doc1.xml · derivative · entry 2

Chen Tian Qiao · CIK 0001677229 · 10% owner

Shanda Media LTD · CIK 0001318400 · 10% owner

Shanda Global Investment Ltd · CIK 0001758913 · 10% owner

Shanda Technology Overseas Capital Co. · CIK 0001633667 · 10% owner

Shanda Group USA Ltd · CIK 0001731231 · 10% owner

SHANDA ASSET MANAGEMENT HOLDINGS Ltd · CIK 0001622346 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 195,628

Underlying: Common Stock · 19,562,800 shares

Expires not disclosed

F3 · derivative.exercise_price: The Series A Preferred Stock is convertible into shares of Common Stock on a one-for-one-hundred basis.

F1 · kind: On March 20, 2020, pursuant to the terms of the Exchange Agreement by and between Shanda Asset Management Holdings Limited ("SAMH") and LendingClub Corporation (the "Issuer"), SAMH exchanged all of the shares of common stock of the Issuer ("Common Stock"), par value $0.01 per share, beneficially owned by it for (i) 195,628 newly issued shares of Mandatorily Convertible Non-Voting Preferred Stock, Series A of the Issuer ("Series A Preferred Stock"), par value $0.01 per share, and (ii) a one-time cash payment of $50,203,332.77.

F1 · price: On March 20, 2020, pursuant to the terms of the Exchange Agreement by and between Shanda Asset Management Holdings Limited ("SAMH") and LendingClub Corporation (the "Issuer"), SAMH exchanged all of the shares of common stock of the Issuer ("Common Stock"), par value $0.01 per share, beneficially owned by it for (i) 195,628 newly issued shares of Mandatorily Convertible Non-Voting Preferred Stock, Series A of the Issuer ("Series A Preferred Stock"), par value $0.01 per share, and (ii) a one-time cash payment of $50,203,332.77.

F4 · derivative.exercise_date: The Series A Preferred Stock is mandatorily convertible, when owned by a person other than SAMH or any affiliate.

F5 · derivative.expiration_date: The conversion of the Series A Preferred Stock has no expiration date.

F2 · ownership.nature: The securities disclosed herein are directly held by SAMH. Mr. Tianqiao Chen is the sole shareholder of Shanda Media Limited. Shanda Media Limited owns 70% of all outstanding and issued shares of Shanda Global Investment Limited, which is the sole shareholder of Shanda Technology Overseas Capital Company Limited. Shanda Technology Overseas Capital Company Limited is the sole shareholder of Shanda Group USA Limited. Shanda Group USA Limited is the sole shareholder of SAMH. Therefore each of Mr. Tianqiao Chen, Shanda Media Limited, Shanda Global Investment Limited, Shanda Technology Overseas Capital Company Limited, Shanda Group USA Limited and SAMH may be deemed to be the beneficial owners of such securities.

Read SEC document
March 20, 2020 Filed Mar 23, 2020 17:06 UTC OtherCommon Stock 19,562,881 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-006901 · doc1.xml · nonDerivative · entry 1

Chen Tian Qiao · CIK 0001677229 · 10% owner

Shanda Media LTD · CIK 0001318400 · 10% owner

Shanda Global Investment Ltd · CIK 0001758913 · 10% owner

Shanda Technology Overseas Capital Co. · CIK 0001633667 · 10% owner

Shanda Group USA Ltd · CIK 0001731231 · 10% owner

SHANDA ASSET MANAGEMENT HOLDINGS Ltd · CIK 0001622346 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · kind: On March 20, 2020, pursuant to the terms of the Exchange Agreement by and between Shanda Asset Management Holdings Limited ("SAMH") and LendingClub Corporation (the "Issuer"), SAMH exchanged all of the shares of common stock of the Issuer ("Common Stock"), par value $0.01 per share, beneficially owned by it for (i) 195,628 newly issued shares of Mandatorily Convertible Non-Voting Preferred Stock, Series A of the Issuer ("Series A Preferred Stock"), par value $0.01 per share, and (ii) a one-time cash payment of $50,203,332.77.

F1 · price: On March 20, 2020, pursuant to the terms of the Exchange Agreement by and between Shanda Asset Management Holdings Limited ("SAMH") and LendingClub Corporation (the "Issuer"), SAMH exchanged all of the shares of common stock of the Issuer ("Common Stock"), par value $0.01 per share, beneficially owned by it for (i) 195,628 newly issued shares of Mandatorily Convertible Non-Voting Preferred Stock, Series A of the Issuer ("Series A Preferred Stock"), par value $0.01 per share, and (ii) a one-time cash payment of $50,203,332.77.

F2 · ownership.nature: The securities disclosed herein are directly held by SAMH. Mr. Tianqiao Chen is the sole shareholder of Shanda Media Limited. Shanda Media Limited owns 70% of all outstanding and issued shares of Shanda Global Investment Limited, which is the sole shareholder of Shanda Technology Overseas Capital Company Limited. Shanda Technology Overseas Capital Company Limited is the sole shareholder of Shanda Group USA Limited. Shanda Group USA Limited is the sole shareholder of SAMH. Therefore each of Mr. Tianqiao Chen, Shanda Media Limited, Shanda Global Investment Limited, Shanda Technology Overseas Capital Company Limited, Shanda Group USA Limited and SAMH may be deemed to be the beneficial owners of such securities.

Read SEC document
March 12, 2020 Filed Mar 16, 2020 19:34 UTC
Kay ValerieChief Capital Officer
GrantRestricted Stock Unit (RSU) · Derivative 12,234 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-010942 · form4.xml · derivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,234

Underlying: Common Stock · 12,234 shares

Expires not disclosed

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

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for 2019/2020. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 12, 2020 Filed Mar 16, 2020 19:28 UTC
Bogan TimothyChief Risk Officer
GrantRestricted Stock Unit (RSU) · Derivative 16,310 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-010935 · form4.xml · derivative · entry 1

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,310

Underlying: Common Stock · 16,310 shares

Expires not disclosed

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

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for 2019/2020. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 12, 2020 Filed Mar 16, 2020 23:31 UTC
CASEY THOMAS WChief Financial Officer
GrantRestricted Stock Unit (RSU) · Derivative 24,462 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-010938 · form4.xml · derivative · entry 1

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,462

Underlying: Common Stock · 24,462 shares

Expires not disclosed

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

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for 2019/2020. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 12, 2020 Filed Mar 16, 2020 23:49 UTC GrantRestricted Stock Unit (RSU) · Derivative 81,519 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-010951 · form4.xml · derivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,519

Underlying: Common Stock · 81,519 shares

Expires not disclosed

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

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for 2019/2020. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 12, 2020 Filed Mar 17, 2020 01:17 UTC GrantRestricted Stock Unit (RSU) · Derivative 20,384 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-010956 · form4.xml · derivative · entry 1

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,384

Underlying: Common Stock · 20,384 shares

Expires not disclosed

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

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for 2019/2020. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 12, 2020 Filed Mar 16, 2020 23:46 UTC
PACE BRANDONGeneral Counsel and Secretary
GrantRestricted Stock Unit (RSU) · Derivative 15,494 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-010949 · form4.xml · derivative · entry 1

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,494

Underlying: Common Stock · 15,494 shares

Expires not disclosed

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

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for 2019/2020. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 12, 2020 Filed Mar 16, 2020 23:43 UTC
Koohestani BahmanChief Technology Officer
GrantRestricted Stock Unit (RSU) · Derivative 12,234 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-010947 · form4.xml · derivative · entry 1

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,234

Underlying: Common Stock · 12,234 shares

Expires not disclosed

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

F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for 2019/2020. The RSUs will vest 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.

F3 · derivative.expiration_date: Not applicable

Read SEC document
March 11, 2020 Filed Mar 13, 2020 19:35 UTC
Kay ValerieChief Capital Officer
SaleCommon Stock 1,900 $9.94 $18,886.00
Disclosure

SEC source: 0001127602-20-010672 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,346

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

Read SEC document
March 05, 2020 Filed Mar 9, 2020 23:12 UTC
CASEY THOMAS WChief Financial Officer
PurchaseCommon Stock 5,000 $10.11 $50,543.50
Disclosure

SEC source: 0001127602-20-009984 · form4.xml · nonDerivative · entry 1

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Casey Family Revocable Trust

Disclosed balance after: 10,000

F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $ 10.0345 to $ 10.18. 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 26, 2020 Filed Feb 28, 2020 18:37 UTC
Kay ValerieChief Capital Officer
GrantRestricted Stock Unit (RSU) · Derivative 100,768 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008410 · form4.xml · derivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,768

Underlying: Common Stock · 100,768 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 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.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:49 UTC
Stack FergalSVP, Corporate Controller
GrantRestricted Stock Unit (RSU) · Derivative 81,574 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008420 · form4.xml · derivative · entry 1

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,574

Underlying: Common Stock · 81,574 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 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.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 18:32 UTC
Bogan TimothyChief Risk Officer
GrantRestricted Stock Unit (RSU) · Derivative 95,970 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008406 · form4.xml · derivative · entry 1

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,970

Underlying: Common Stock · 95,970 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 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.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:46 UTC GrantRestricted Stock Unit (RSU) · Derivative 215,931 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008418 · form4.xml · derivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,931

Underlying: Common Stock · 215,931 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 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.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:44 UTC
PACE BRANDONGeneral Counsel and Secretary
GrantRestricted Stock Unit (RSU) · Derivative 94,050 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008416 · form4.xml · derivative · entry 1

PACE BRANDON · CIK 0001771959 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,050

Underlying: Common Stock · 94,050 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 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.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:41 UTC
Momen RonnieChief Lending Officer
GrantRestricted Stock Unit (RSU) · Derivative 107,486 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008414 · form4.xml · derivative · entry 1

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,486

Underlying: Common Stock · 107,486 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 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.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:39 UTC
Koohestani BahmanChief Technology Officer
GrantRestricted Stock Unit (RSU) · Derivative 100,768 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008412 · form4.xml · derivative · entry 1

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,768

Underlying: Common Stock · 100,768 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 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.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:35 UTC
CASEY THOMAS WChief Financial Officer
GrantRestricted Stock Unit (RSU) · Derivative 201,536 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008408 · form4.xml · derivative · entry 1

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,536

Underlying: Common Stock · 201,536 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 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.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 23:30 UTC GrantRestricted Stock Unit (RSU) · Derivative 184,741 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008405 · form4.xml · derivative · entry 1

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,741

Underlying: Common Stock · 184,741 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 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.

Read SEC document
February 25, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,493 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · derivative · entry 12

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,914

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
February 25, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,233 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · derivative · entry 11

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,098

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
February 25, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,459 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · derivative · entry 10

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,755

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
February 25, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,735 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · derivative · entry 9

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,205

Underlying: Common Stock · 4,735 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
February 25, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Tax withholdingCommon Stock 2,409 $11.87 $28,594.83
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 8

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,246

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, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 4,493 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 7

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,655

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, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Tax withholdingCommon Stock 3,904 $11.87 $46,340.48
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 6

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,162

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, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 7,233 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 5

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,066

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, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Tax withholdingCommon Stock 1,356 $11.13 $15,092.28
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 4

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,833

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, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 2,459 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 3

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,189

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, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Tax withholdingCommon Stock 2,642 $11.13 $29,405.46
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 2

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,730

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, 2020 Filed Feb 27, 2020 20:28 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 4,735 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,372

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, 2020 Filed Feb 28, 2020 00:42 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,396 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008208 · form4.xml · derivative · entry 9

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,755

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, 2020 Filed Feb 28, 2020 00:42 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,545 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008208 · form4.xml · derivative · entry 8

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,359

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, 2020 Filed Feb 28, 2020 00:42 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,611 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008208 · form4.xml · derivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,665

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, 2020 Filed Feb 28, 2020 00:42 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 1,166 $11.87 $13,840.42
Disclosure

SEC source: 0001127602-20-008208 · form4.xml · nonDerivative · entry 6

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,411

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, 2020 Filed Feb 28, 2020 00:42 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 2,396 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008208 · form4.xml · nonDerivative · entry 5

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,577

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, 2020 Filed Feb 28, 2020 00:42 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 1,814 $11.87 $21,532.18
Disclosure

SEC source: 0001127602-20-008208 · form4.xml · nonDerivative · entry 4

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,181

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, 2020 Filed Feb 28, 2020 00:42 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 3,545 $0.00 $0.00
Disclosure

SEC source: 0001127602-20-008208 · form4.xml · nonDerivative · entry 3

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,995

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, 2020 Filed Feb 28, 2020 00:42 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 2,382 $11.13 $26,511.66
Disclosure

SEC source: 0001127602-20-008208 · form4.xml · nonDerivative · entry 2

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,450

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

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