Tapewire

Nasdaq · USD

HAPN

Happen, Inc.

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4526
SEC CIK
0001409970
Parsed reports
720

Last 12 months

Inside the activity.

0 purchase rows · 29 sale rows

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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 25, 2019 Filed May 30, 2019 00:28 UTC Exercise / conversionCommon Stock 34,404 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020210 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,665,127

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 23:27 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 22,464 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020206 · form4.xml · derivative · entry 6

Koohestani Bahman · CIK 0001406777 · Chief Technology 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.

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
May 25, 2019 Filed May 29, 2019 23:27 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 74,184 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020206 · form4.xml · derivative · entry 5

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 890,208

Underlying: Common Stock · 74,184 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
May 25, 2019 Filed May 29, 2019 23:27 UTC
Koohestani BahmanChief Technology Officer
Tax withholdingCommon Stock 11,828 $3.09 $36,548.52
Disclosure

SEC source: 0001127602-19-020206 · form4.xml · nonDerivative · entry 4

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,516

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, 2019 Filed May 29, 2019 23:27 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionCommon Stock 22,464 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020206 · form4.xml · nonDerivative · entry 3

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,344

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 23:27 UTC
Koohestani BahmanChief Technology Officer
Tax withholdingCommon Stock 39,058 $3.09 $120,689.22
Disclosure

SEC source: 0001127602-19-020206 · form4.xml · nonDerivative · entry 2

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,880

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, 2019 Filed May 29, 2019 23:27 UTC
Koohestani BahmanChief Technology Officer
Exercise / conversionCommon Stock 74,184 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020206 · form4.xml · nonDerivative · entry 1

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,938

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 22:40 UTC
Momen RonnieChief Lending Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 29,952 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020203 · form4.xml · derivative · entry 6

Momen Ronnie · CIK 0001747276 · Chief Lending 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.

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
May 25, 2019 Filed May 29, 2019 22:40 UTC
Momen RonnieChief Lending Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 56,966 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020203 · form4.xml · derivative · entry 5

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 740,561

Underlying: Common Stock · 56,966 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on November 25, 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, 2019 Filed May 29, 2019 22:40 UTC
Momen RonnieChief Lending Officer
Tax withholdingCommon Stock 15,770 $3.09 $48,729.30
Disclosure

SEC source: 0001127602-19-020203 · form4.xml · nonDerivative · entry 4

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,480

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, 2019 Filed May 29, 2019 22:40 UTC
Momen RonnieChief Lending Officer
Exercise / conversionCommon Stock 29,952 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020203 · form4.xml · nonDerivative · entry 3

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,250

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 22:40 UTC
Momen RonnieChief Lending Officer
Tax withholdingCommon Stock 29,993 $3.09 $92,678.37
Disclosure

SEC source: 0001127602-19-020203 · form4.xml · nonDerivative · entry 2

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,298

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, 2019 Filed May 29, 2019 22:40 UTC
Momen RonnieChief Lending Officer
Exercise / conversionCommon Stock 56,966 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020203 · form4.xml · nonDerivative · entry 1

Momen Ronnie · CIK 0001747276 · Chief Lending Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,291

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 22:37 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 37,440 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020202 · form4.xml · derivative · entry 9

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 561,602

Underlying: Common Stock · 37,440 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
May 25, 2019 Filed May 29, 2019 22:37 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 46,642 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020202 · form4.xml · derivative · entry 8

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,060

Underlying: Common Stock · 46,642 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
May 25, 2019 Filed May 29, 2019 22:37 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 67,085 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020202 · form4.xml · derivative · entry 7

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,673

Underlying: Common Stock · 67,085 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, 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, 2019 Filed May 29, 2019 22:37 UTC Tax withholdingCommon Stock 19,713 $3.09 $60,913.17
Disclosure

SEC source: 0001127602-19-020202 · form4.xml · nonDerivative · entry 6

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,255

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, 2019 Filed May 29, 2019 22:37 UTC Exercise / conversionCommon Stock 37,440 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020202 · form4.xml · nonDerivative · entry 5

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,968

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 22:37 UTC Tax withholdingCommon Stock 24,558 $3.09 $75,884.22
Disclosure

SEC source: 0001127602-19-020202 · form4.xml · nonDerivative · entry 4

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,528

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, 2019 Filed May 29, 2019 22:37 UTC Exercise / conversionCommon Stock 46,642 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020202 · form4.xml · nonDerivative · entry 3

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,086

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 22:37 UTC Tax withholdingCommon Stock 35,321 $3.09 $109,141.89
Disclosure

SEC source: 0001127602-19-020202 · form4.xml · nonDerivative · entry 2

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,444

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, 2019 Filed May 29, 2019 22:37 UTC Exercise / conversionCommon Stock 67,085 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-020202 · form4.xml · nonDerivative · entry 1

ALLOCCA STEVEN · CIK 0001707149 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 389,765

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

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

Read SEC document
May 21, 2019 Filed May 21, 2019 23:28 UTC SaleCommon Stock 137,748 $3.26 $449,485.50
Disclosure

SEC source: 0001127602-19-019385 · form4.xml · nonDerivative · entry 3

Meeker Mary G · CIK 0001544567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By KPCB Holdings, Inc., As Nominee

Disclosed balance after: 0

F4 · price: This transaction was executed in multiple trades during the day at prices ranging from $3.25 to $3.30. 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.

F2 · ownership.nature: The reporting person is a managing member of KPCB DGF Associates, LLC, which is the managing member of KPCB Digital Growth Fund, LLC ("KPCB Growth") and KPCB DGF Founders Fund, LLC ("KPCB FF"). KPCB Holdings, Inc., as nominee, holds the stock for the account of KPCB Growth and KPCB FF. The reporting person may be deemed to share voting and investment power over the securities held by KPCB Growth and KPCB FF. The reporting person disclaims beneficial ownership over such securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 20, 2019 Filed May 21, 2019 23:28 UTC SaleCommon Stock 40,333 $3.25 $131,138.72
Disclosure

SEC source: 0001127602-19-019385 · form4.xml · nonDerivative · entry 2

Meeker Mary G · CIK 0001544567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By KPCB Holdings, Inc., As Nominee

Disclosed balance after: 137,748

F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $3.25 to $3.33. 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.

F2 · ownership.nature: The reporting person is a managing member of KPCB DGF Associates, LLC, which is the managing member of KPCB Digital Growth Fund, LLC ("KPCB Growth") and KPCB DGF Founders Fund, LLC ("KPCB FF"). KPCB Holdings, Inc., as nominee, holds the stock for the account of KPCB Growth and KPCB FF. The reporting person may be deemed to share voting and investment power over the securities held by KPCB Growth and KPCB FF. The reporting person disclaims beneficial ownership over such securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 17, 2019 Filed May 21, 2019 23:28 UTC SaleCommon Stock 350,500 $3.31 $1,159,559.15
Disclosure

SEC source: 0001127602-19-019385 · form4.xml · nonDerivative · entry 1

Meeker Mary G · CIK 0001544567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By KPCB Holdings, Inc., As Nominee

Disclosed balance after: 178,081

F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $3.26 to $3.36. 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.

F2 · ownership.nature: The reporting person is a managing member of KPCB DGF Associates, LLC, which is the managing member of KPCB Digital Growth Fund, LLC ("KPCB Growth") and KPCB DGF Founders Fund, LLC ("KPCB FF"). KPCB Holdings, Inc., as nominee, holds the stock for the account of KPCB Growth and KPCB FF. The reporting person may be deemed to share voting and investment power over the securities held by KPCB Growth and KPCB FF. The reporting person disclaims beneficial ownership over such securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 16, 2019 Filed May 16, 2019 23:10 UTC SaleCommon Stock 235,535 $3.37 $793,352.54
Disclosure

SEC source: 0001127602-19-018844 · form4.xml · nonDerivative · entry 3

Meeker Mary G · CIK 0001544567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By KPCB Holdings, Inc., As Nominee

Disclosed balance after: 528,581

F4 · price: This transaction was executed in multiple trades during the day at prices ranging from $3.33 to $3.41. 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.

F2 · ownership.nature: The reporting person is a managing member of KPCB DGF Associates, LLC, which is the managing member of KPCB Digital Growth Fund, LLC ("KPCB Growth") and KPCB DGF Founders Fund, LLC ("KPCB FF"). KPCB Holdings, Inc., as nominee, holds the stock for the account of KPCB Growth and KPCB FF. The reporting person may be deemed to share voting and investment power over the securities held by KPCB Growth and KPCB FF. The reporting person disclaims beneficial ownership over such securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 15, 2019 Filed May 16, 2019 23:10 UTC SaleCommon Stock 250,000 $3.35 $837,925.00
Disclosure

SEC source: 0001127602-19-018844 · form4.xml · nonDerivative · entry 2

Meeker Mary G · CIK 0001544567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By KPCB Holdings, Inc., As Nominee

Disclosed balance after: 764,116

F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $3.27 to $3.395. 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.

F2 · ownership.nature: The reporting person is a managing member of KPCB DGF Associates, LLC, which is the managing member of KPCB Digital Growth Fund, LLC ("KPCB Growth") and KPCB DGF Founders Fund, LLC ("KPCB FF"). KPCB Holdings, Inc., as nominee, holds the stock for the account of KPCB Growth and KPCB FF. The reporting person may be deemed to share voting and investment power over the securities held by KPCB Growth and KPCB FF. The reporting person disclaims beneficial ownership over such securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 14, 2019 Filed May 16, 2019 23:10 UTC SaleCommon Stock 322,700 $3.39 $1,094,985.64
Disclosure

SEC source: 0001127602-19-018844 · form4.xml · nonDerivative · entry 1

Meeker Mary G · CIK 0001544567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By KPCB Holdings, Inc., As Nominee

Disclosed balance after: 1,014,116

F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $3.37 to $3.43. 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.

F2 · ownership.nature: The reporting person is a managing member of KPCB DGF Associates, LLC, which is the managing member of KPCB Digital Growth Fund, LLC ("KPCB Growth") and KPCB DGF Founders Fund, LLC ("KPCB FF"). KPCB Holdings, Inc., as nominee, holds the stock for the account of KPCB Growth and KPCB FF. The reporting person may be deemed to share voting and investment power over the securities held by KPCB Growth and KPCB FF. The reporting person disclaims beneficial ownership over such securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 13, 2019 Filed May 14, 2019 01:20 UTC SaleCommon Stock 276,500 $3.41 $942,450.25
Disclosure

SEC source: 0001127602-19-018385 · form4.xml · nonDerivative · entry 3

Meeker Mary G · CIK 0001544567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By KPCB Holdings, Inc., As Nominee

Disclosed balance after: 1,336,816

F4 · price: This transaction was executed in multiple trades during the day at prices ranging from $3.33 to $3.51. 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.

F2 · ownership.nature: The reporting person is a managing member of KPCB DGF Associates, LLC, which is the managing member of KPCB Digital Growth Fund, LLC ("KPCB Growth") and KPCB DGF Founders Fund, LLC ("KPCB FF"). KPCB Holdings, Inc., as nominee, holds the stock for the account of KPCB Growth and KPCB FF. The reporting person may be deemed to share voting and investment power over the securities held by KPCB Growth and KPCB FF. The reporting person disclaims beneficial ownership over such securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
May 12, 2019 Filed May 14, 2019 22:51 UTC Exercise / conversionRestricted Stock Unit (RSU) · Derivative 89,031 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-018496 · form4.xml · derivative · entry 3

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,126

Underlying: Common Stock · 89,031 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.

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.

Read SEC document
May 12, 2019 Filed May 14, 2019 22:51 UTC Tax withholdingCommon Stock 46,875 $3.57 $167,343.75
Disclosure

SEC source: 0001127602-19-018496 · form4.xml · nonDerivative · entry 2

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,630,723

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 12, 2019 Filed May 14, 2019 22:51 UTC Exercise / conversionCommon Stock 89,031 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-018496 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,677,598

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 2,500 shares acquired on May 10, 2019 under the LendingClub Corporation 2014 Employee Stock Purchase Plan.

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May 10, 2019 Filed May 14, 2019 01:20 UTC SaleCommon Stock 426,000 $3.54 $1,507,315.80
Disclosure

SEC source: 0001127602-19-018385 · form4.xml · nonDerivative · entry 2

Meeker Mary G · CIK 0001544567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By KPCB Holdings, Inc., As Nominee

Disclosed balance after: 1,613,316

F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $3.47 to $3.58. 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.

F2 · ownership.nature: The reporting person is a managing member of KPCB DGF Associates, LLC, which is the managing member of KPCB Digital Growth Fund, LLC ("KPCB Growth") and KPCB DGF Founders Fund, LLC ("KPCB FF"). KPCB Holdings, Inc., as nominee, holds the stock for the account of KPCB Growth and KPCB FF. The reporting person may be deemed to share voting and investment power over the securities held by KPCB Growth and KPCB FF. The reporting person disclaims beneficial ownership over such securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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May 09, 2019 Filed May 14, 2019 01:20 UTC SaleCommon Stock 100,000 $3.57 $357,300.00
Disclosure

SEC source: 0001127602-19-018385 · form4.xml · nonDerivative · entry 1

Meeker Mary G · CIK 0001544567 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By KPCB Holdings, Inc., As Nominee

Disclosed balance after: 2,039,316

F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $3.56 to $3.605. 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.

F2 · ownership.nature: The reporting person is a managing member of KPCB DGF Associates, LLC, which is the managing member of KPCB Digital Growth Fund, LLC ("KPCB Growth") and KPCB DGF Founders Fund, LLC ("KPCB FF"). KPCB Holdings, Inc., as nominee, holds the stock for the account of KPCB Growth and KPCB FF. The reporting person may be deemed to share voting and investment power over the securities held by KPCB Growth and KPCB FF. The reporting person disclaims beneficial ownership over such securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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April 29, 2019 Filed May 1, 2019 17:56 UTC
Kay ValerieChief Capital Officer
SaleCommon Stock 9,500 $3.24 $30,780.00
Disclosure

SEC source: 0001127602-19-016789 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,177

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

Read SEC document
March 28, 2019 Filed Mar 29, 2019 18:16 UTC
Kay ValerieChief Capital Officer
SaleCommon Stock 9,500 $2.99 $28,405.00
Disclosure

SEC source: 0001127602-19-013605 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,677

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

Read SEC document
March 12, 2019 Filed Mar 14, 2019 22:27 UTC GrantRestricted Stock Unit (RSU) · Derivative 535,224 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-011391 · form4.xml · derivative · entry 1

Sanborn Scott · CIK 0001397362 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,224

Underlying: Common Stock · 535,224 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 2018/2019. The RSUs will vest as to 25% of the total shares on May 25, 2019 with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
March 12, 2019 Filed Mar 14, 2019 22:25 UTC
CASEY THOMAS WChief Financial Officer
GrantRestricted Stock Unit (RSU) · Derivative 214,090 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-011389 · form4.xml · derivative · entry 1

CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,090

Underlying: Common Stock · 214,090 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 2018/2019. The RSUs will vest as to 25% of the total shares on May 25, 2019 with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.

F3 · derivative.expiration_date: Not applicable.

Read SEC document
February 28, 2019 Filed Mar 4, 2019 22:00 UTC
CASEY THOMAS WChief Financial Officer
PurchaseCommon Stock 15,000 $2.98 $44,700.00
Disclosure

SEC source: 0001127602-19-009533 · 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: 25,000

F1 · balance_after: Includes 10,000 shares indirectly acquired by the Reporting Person on 11/14/17 that were previously reported as being directly held.

Read SEC document
February 28, 2019 Filed Mar 4, 2019 21:53 UTC
Koohestani BahmanChief Technology Officer
SaleCommon Stock 17,563 $2.98 $52,358.82
Disclosure

SEC source: 0001127602-19-009505 · form4.xml · nonDerivative · entry 1

Koohestani Bahman · CIK 0001406777 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,754

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

F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $2.96 to $3.03. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

Read SEC document
February 25, 2019 Filed Feb 26, 2019 21:31 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 36,165 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008590 · form4.xml · derivative · entry 9

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,142

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.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2019 Filed Feb 26, 2019 21:31 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 12,295 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008590 · form4.xml · derivative · entry 8

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,952

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.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
February 25, 2019 Filed Feb 26, 2019 21:31 UTC
Kay ValerieChief Capital Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 23,674 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008590 · form4.xml · derivative · entry 7

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,720

Underlying: Common Stock · 23,674 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 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, 2019 Filed Feb 26, 2019 21:31 UTC
Kay ValerieChief Capital Officer
Tax withholdingCommon Stock 19,490 $3.13 $61,003.70
Disclosure

SEC source: 0001127602-19-008590 · form4.xml · nonDerivative · entry 5

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,177

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, 2019 Filed Feb 26, 2019 21:31 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 36,165 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008590 · form4.xml · nonDerivative · entry 4

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,667

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, 2019 Filed Feb 26, 2019 21:31 UTC
Kay ValerieChief Capital Officer
Tax withholdingCommon Stock 19,645 $3.10 $60,899.50
Disclosure

SEC source: 0001127602-19-008590 · form4.xml · nonDerivative · entry 3

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,502

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, 2019 Filed Feb 26, 2019 21:31 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 12,295 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008590 · form4.xml · nonDerivative · entry 2

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,147

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, 2019 Filed Feb 26, 2019 21:31 UTC
Kay ValerieChief Capital Officer
Exercise / conversionCommon Stock 23,674 $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008590 · form4.xml · nonDerivative · entry 1

Kay Valerie · CIK 0001740868 · Chief Capital Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,852

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, 2019 Filed Feb 27, 2019 02:28 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 17,724 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008588 · form4.xml · derivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,688

Underlying: Common Stock · 17,724 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, 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, 2019 Filed Feb 27, 2019 02:28 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 23,053 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-19-008588 · form4.xml · derivative · entry 6

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,534

Underlying: Common Stock · 23,053 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 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

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