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Nasdaq · USD

HAPN

Happen, Inc.

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4526
SEC CIK
0001409970
Parsed reports
720

Last 12 months

Inside the activity.

0 purchase rows · 29 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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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
August 25, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,194 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · derivative · entry 11

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,941

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.

F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

F6 · 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.

F5 · derivative.expiration_date: Not applicable.

F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 25, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,762 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · derivative · entry 10

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,048

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.

F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

F4 · 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.

F5 · derivative.expiration_date: Not applicable.

F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 25, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 4,732 $13.06 $61,799.92
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 8

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,987

Read SEC document
August 25, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 8,986 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 7

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,719

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, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 2,818 $13.06 $36,803.08
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 6

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,733

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, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 5,352 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 5

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,551

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, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 5,894 $13.06 $76,975.64
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 4

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,199

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, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 11,194 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 3

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,093

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, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Tax withholdingCommon Stock 1,455 $13.06 $19,002.30
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 2

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,899

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, 2019 Filed Aug 28, 2019 00:17 UTC
CASEY THOMAS WChief Financial Officer
Exercise / conversionCommon Stock 2,762 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 1

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,354

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.

F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 25, 2019 Filed Aug 27, 2019 22:05 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,488 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027472 · form4.xml · derivative · entry 9

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,833

Underlying: Common Stock · 7,488 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 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

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.

F5 · derivative.expiration_date: Not applicable.

F3 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 25, 2019 Filed Aug 27, 2019 22:05 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,329 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027472 · form4.xml · derivative · entry 8

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,284

Underlying: Common Stock · 9,329 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 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

F6 · 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.

F5 · derivative.expiration_date: Not applicable.

F3 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 25, 2019 Filed Aug 27, 2019 22:05 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,417 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027472 · form4.xml · derivative · entry 7

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,919

Underlying: Common Stock · 13,417 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 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

F4 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on August 25, 2017, 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.

F3 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 25, 2019 Filed Aug 27, 2019 22:05 UTC Tax withholdingCommon Stock 3,943 $13.06 $51,495.58
Disclosure

SEC source: 0001127602-19-027472 · form4.xml · nonDerivative · entry 6

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,165

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, 2019 Filed Aug 27, 2019 22:05 UTC Exercise / conversionCommon Stock 7,488 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027472 · form4.xml · nonDerivative · entry 5

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,108

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, 2019 Filed Aug 27, 2019 22:05 UTC Tax withholdingCommon Stock 4,912 $13.06 $64,150.72
Disclosure

SEC source: 0001127602-19-027472 · form4.xml · nonDerivative · entry 4

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,620

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, 2019 Filed Aug 27, 2019 22:05 UTC Exercise / conversionCommon Stock 9,329 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027472 · form4.xml · nonDerivative · entry 3

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,532

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, 2019 Filed Aug 27, 2019 22:05 UTC Tax withholdingCommon Stock 7,065 $13.06 $92,268.90
Disclosure

SEC source: 0001127602-19-027472 · form4.xml · nonDerivative · entry 2

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,203

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, 2019 Filed Aug 27, 2019 22:05 UTC Exercise / conversionCommon Stock 13,417 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027472 · form4.xml · nonDerivative · entry 1

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,268

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 14, 2019 Filed Aug 15, 2019 21:57 UTC PurchaseCommon Stock 14,000 $13.92 $194,926.20
Disclosure

SEC source: 0001127602-19-026804 · form4.xml · nonDerivative · entry 1

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,851

F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $13.88 to $13.93. The reported amount represents the weighted-average price. 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.

F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 12, 2019 Filed Aug 14, 2019 22:42 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 17,806 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-026645 · form4.xml · derivative · entry 3

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,420

Underlying: Common Stock · 17,806 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.

F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

F4 · 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.

F5 · derivative.expiration_date: Not applicable.

F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 12, 2019 Filed Aug 14, 2019 22:42 UTC Tax withholdingCommon Stock 9,375 $14.89 $139,593.75
Disclosure

SEC source: 0001127602-19-026645 · form4.xml · nonDerivative · entry 2

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,649

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 12, 2019 Filed Aug 14, 2019 22:42 UTC Exercise / conversionCommon Stock 17,806 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-026645 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,024

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.

F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 12, 2019 Filed Aug 14, 2019 22:46 UTC SaleCommon Stock 6,000 $15.04 $90,240.00
Disclosure

SEC source: 0001127602-19-026647 · form4.xml · nonDerivative · entry 1

Athey Susan C · CIK 0001660939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,351

F1 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
August 09, 2019 Filed Aug 28, 2019 00:25 UTC
Momen RonnieChief Lending Officer
GiftCommon Stock 2,469 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-027483 · form4.xml · nonDerivative · entry 1

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,157

F1 · shares: Transaction represents the transfer of 2,469 shares by the reporting person of Issuer common stock by bona fide gift.

F1 · price: Transaction represents the transfer of 2,469 shares by the reporting person of Issuer common stock by bona fide gift.

F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split.

Read SEC document
June 28, 2019 Filed Jul 2, 2019 18:06 UTC
Kay ValerieChief Capital Officer
SaleCommon Stock 9,500 $2.98 $28,310.00
Disclosure

SEC source: 0001127602-19-023759 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,981

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

Read SEC document
June 05, 2019 Filed Jun 8, 2019 00:47 UTC GrantCommon Stock 50,336 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021179 · form4.xml · nonDerivative · entry 1

Mayopoulos Timothy J · CIK 0001462553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,336

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 June 5, 2019, subject to continued service through each vesting date.

Read SEC document
June 05, 2019 Filed Jun 8, 2019 00:50 UTC GrantCommon Stock 50,336 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021181 · form4.xml · nonDerivative · entry 1

Morris John C. · CIK 0001431297 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,336

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 June 5, 2019, subject to continued service through each vesting date.

Read SEC document
June 05, 2019 Filed Jun 8, 2019 00:51 UTC GrantCommon Stock 50,336 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021182 · form4.xml · nonDerivative · entry 1

Williams Simon · CIK 0001328274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,336

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 June 5, 2019, subject to continued service through each vesting date.

Read SEC document
June 05, 2019 Filed Jun 8, 2019 00:48 UTC GrantCommon Stock 50,336 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021180 · form4.xml · nonDerivative · entry 1

McCORD PATRICIA J · CIK 0001393519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,336

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 June 5, 2019, subject to continued service through each vesting date.

Read SEC document
June 05, 2019 Filed Jun 8, 2019 00:46 UTC GrantCommon Stock 50,336 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021178 · form4.xml · nonDerivative · entry 1

DENMAN KENNETH D · CIK 0001254779 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,336

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 June 5, 2019, subject to continued service through each vesting date.

Read SEC document
June 05, 2019 Filed Jun 8, 2019 00:44 UTC GrantCommon Stock 50,336 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021177 · form4.xml · nonDerivative · entry 1

Ciporin Daniel T · CIK 0001295750 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,336

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 June 5, 2019, subject to continued service through each vesting date.

Read SEC document
June 05, 2019 Filed Jun 8, 2019 00:42 UTC GrantCommon Stock 50,336 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-021176 · form4.xml · nonDerivative · entry 1

Athey Susan C · CIK 0001660939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,336

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 June 5, 2019, subject to continued service through each vesting date.

Read SEC document
June 04, 2019 Filed Jun 5, 2019 22:48 UTC
Momen RonnieChief Lending Officer
GiftCommon Stock 12,347 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020939 · form4.xml · nonDerivative · entry 1

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,133

F1 · shares: Transaction represents the transfer of 12,347 shares by the reporting person of Issuer common stock by bona fide gift.

F1 · price: Transaction represents the transfer of 12,347 shares by the reporting person of Issuer common stock by bona fide gift.

Read SEC document
May 28, 2019 Filed May 29, 2019 19:23 UTC
Kay ValerieChief Capital Officer
SaleCommon Stock 9,500 $3.10 $29,450.00
Disclosure

SEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 9

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,481

F3 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

Read SEC document
May 25, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 29,952 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · derivative · entry 12

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 449,282

Underlying: Common Stock · 29,952 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, 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
May 25, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 41,978 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · derivative · entry 11

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,754

Underlying: Common Stock · 41,978 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, 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
May 25, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 22,645 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · derivative · entry 10

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,225

Underlying: Common Stock · 22,645 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 November 25, 2016, 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
May 25, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,573 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · derivative · entry 9

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,722

Underlying: Common Stock · 5,573 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.

F4 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2016, 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
May 25, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Tax withholdingCommon Stock 15,770 $3.09 $48,729.30
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · nonDerivative · entry 8

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 302,614

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
May 25, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Exercise / conversionCommon Stock 29,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · nonDerivative · entry 7

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,384

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, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Tax withholdingCommon Stock 22,102 $3.09 $68,295.18
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · nonDerivative · entry 6

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,432

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
May 25, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Exercise / conversionCommon Stock 41,978 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · nonDerivative · entry 5

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,534

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, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Tax withholdingCommon Stock 11,923 $3.09 $36,842.07
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · nonDerivative · entry 4

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,556

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
May 25, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Exercise / conversionCommon Stock 22,645 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · nonDerivative · entry 3

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,479

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, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Tax withholdingCommon Stock 2,935 $3.09 $9,069.15
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · nonDerivative · entry 2

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,834

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
May 25, 2019 Filed May 29, 2019 19:32 UTC
Bogan TimothyChief Risk Officer
Exercise / conversionCommon Stock 5,573 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020208 · form4.xml · nonDerivative · entry 1

Bogan Timothy · CIK 0001692844 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,769

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.

F2 · balance_after: Includes 609 shares acquired under the LendingClub Corporation 2014 Employee Stock Purchase Plan on May 10, 2019.

Read SEC document
May 25, 2019 Filed May 29, 2019 19:23 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 22,464 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020204 · form4.xml · derivative · entry 13

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336,961

Underlying: Common Stock · 22,464 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, 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
May 25, 2019 Filed May 29, 2019 19:23 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 36,165 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020204 · form4.xml · derivative · entry 12

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 433,977

Underlying: Common Stock · 36,165 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 August 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
May 25, 2019 Filed May 29, 2019 19:23 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 12,295 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020204 · form4.xml · derivative · entry 11

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,657

Underlying: Common Stock · 12,295 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 November 25, 2017, 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

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