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Nasdaq · USD

HAPN

Happen, Inc.

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Tapewire entity
4526
SEC CIK
0001409970
Parsed reports
720

Last 12 months

Inside the activity.

0 purchase rows · 29 sale rows

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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 25, 2024 Filed Nov 27, 2024 17:44 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 7,749 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028192 · form4.xml · nonDerivative · entry 2

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 363,172

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
November 25, 2024 Filed Nov 27, 2024 17:44 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 4,279 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028192 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 355,423

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
November 25, 2024 Filed Nov 27, 2024 22:47 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,117 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028197 · form4.xml · derivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,056

Underlying: Common Stock · 3,117 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 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:47 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,645 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028197 · form4.xml · derivative · entry 6

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,229

Underlying: Common Stock · 5,645 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.

F5 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:47 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,118 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028197 · form4.xml · derivative · entry 5

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,118

Underlying: Common Stock · 3,118 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 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:47 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 4,737 $16.73 $79,250.01
Disclosure

SEC source: 0001127602-24-028197 · form4.xml · nonDerivative · entry 4

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 229,551

F2 · shares: Does not represent a sale of 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
November 25, 2024 Filed Nov 27, 2024 22:47 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 3,117 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028197 · form4.xml · nonDerivative · entry 3

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 234,288

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
November 25, 2024 Filed Nov 27, 2024 22:47 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 5,645 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028197 · form4.xml · nonDerivative · entry 2

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,171

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
November 25, 2024 Filed Nov 27, 2024 22:47 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 3,118 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028197 · form4.xml · nonDerivative · entry 1

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,526

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
November 25, 2024 Filed Nov 28, 2024 01:10 UTC
LaBenne AndrewChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 12,274 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028220 · form4.xml · derivative · entry 8

LaBenne Andrew · CIK 0001847231 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,467

Underlying: Common Stock · 12,274 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 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 28, 2024 01:10 UTC
LaBenne AndrewChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 10,848 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028220 · form4.xml · derivative · entry 7

LaBenne Andrew · CIK 0001847231 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,243

Underlying: Common Stock · 10,848 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 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 28, 2024 01:10 UTC
LaBenne AndrewChief Financial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 20,005 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028220 · form4.xml · derivative · entry 6

LaBenne Andrew · CIK 0001847231 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,014

Underlying: Common Stock · 20,005 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 33.33% of the total shares on August 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 28, 2024 01:10 UTC
LaBenne AndrewChief Financial Officer
Tax withholdingCommon Stock 22,224 $16.73 $371,807.52
Disclosure

SEC source: 0001127602-24-028220 · form4.xml · nonDerivative · entry 4

LaBenne Andrew · CIK 0001847231 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,128

F2 · shares: Does not represent a sale of 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
November 25, 2024 Filed Nov 28, 2024 01:10 UTC
LaBenne AndrewChief Financial Officer
Exercise / conversionCommon Stock 12,274 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028220 · form4.xml · nonDerivative · entry 3

LaBenne Andrew · CIK 0001847231 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,352

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
November 25, 2024 Filed Nov 28, 2024 01:10 UTC
LaBenne AndrewChief Financial Officer
Exercise / conversionCommon Stock 10,848 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028220 · form4.xml · nonDerivative · entry 2

LaBenne Andrew · CIK 0001847231 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,078

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
November 25, 2024 Filed Nov 28, 2024 01:10 UTC
LaBenne AndrewChief Financial Officer
Exercise / conversionCommon Stock 20,005 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028220 · form4.xml · nonDerivative · entry 1

LaBenne Andrew · CIK 0001847231 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,230

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
November 25, 2024 Filed Nov 27, 2024 22:54 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,151 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028206 · form4.xml · derivative · entry 8

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,357

Underlying: Common Stock · 13,151 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 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:54 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 14,944 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028206 · form4.xml · derivative · entry 7

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,722

Underlying: Common Stock · 14,944 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 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:54 UTC
Sanborn ScottDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,253 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028206 · form4.xml · derivative · entry 6

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,253

Underlying: Common Stock · 8,253 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 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F5 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:54 UTC
Sanborn ScottDirector · CEO
Tax withholdingCommon Stock 8,033 $16.73 $134,392.09
Disclosure

SEC source: 0001127602-24-028206 · form4.xml · nonDerivative · entry 5

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,346,184

F3 · shares: Does not represent a sale of 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
November 25, 2024 Filed Nov 27, 2024 22:54 UTC
Sanborn ScottDirector · CEO
Disposition to issuerCommon Stock 21,404 $16.73 $358,088.92
Disclosure

SEC source: 0001127602-24-028206 · form4.xml · nonDerivative · entry 4

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,354,217

F2 · shares: Does not represent a sale of shares. Represents the settlement of RSUs granted on March 13, 2022 and March 21, 2024, in cash rather than in shares of the Issuer's common stock.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:54 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 13,151 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028206 · form4.xml · nonDerivative · entry 3

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,375,621

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
November 25, 2024 Filed Nov 27, 2024 22:54 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 14,944 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028206 · form4.xml · nonDerivative · entry 2

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,362,470

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
November 25, 2024 Filed Nov 27, 2024 22:54 UTC
Sanborn ScottDirector · CEO
Exercise / conversionCommon Stock 8,253 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028206 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,347,526

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
November 25, 2024 Filed Nov 27, 2024 22:50 UTC
Cheng JordanGeneral Counsel & Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,728 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028201 · form4.xml · derivative · entry 7

Cheng Jordan · CIK 0001998222 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,552

Underlying: Common Stock · 5,728 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 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:50 UTC
Cheng JordanGeneral Counsel & Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,889 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028201 · form4.xml · derivative · entry 6

Cheng Jordan · CIK 0001998222 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,447

Underlying: Common Stock · 2,889 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 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:50 UTC
Cheng JordanGeneral Counsel & Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,127 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028201 · form4.xml · derivative · entry 5

Cheng Jordan · CIK 0001998222 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,128

Underlying: Common Stock · 2,127 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 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
November 25, 2024 Filed Nov 27, 2024 22:50 UTC
Cheng JordanGeneral Counsel & Secretary
Tax withholdingCommon Stock 4,866 $16.73 $81,408.18
Disclosure

SEC source: 0001127602-24-028201 · form4.xml · nonDerivative · entry 4

Cheng Jordan · CIK 0001998222 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,263

F2 · shares: Does not represent a sale of 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
November 25, 2024 Filed Nov 27, 2024 22:50 UTC
Cheng JordanGeneral Counsel & Secretary
Exercise / conversionCommon Stock 5,728 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028201 · form4.xml · nonDerivative · entry 3

Cheng Jordan · CIK 0001998222 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,129

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
November 25, 2024 Filed Nov 27, 2024 22:50 UTC
Cheng JordanGeneral Counsel & Secretary
Exercise / conversionCommon Stock 2,889 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028201 · form4.xml · nonDerivative · entry 2

Cheng Jordan · CIK 0001998222 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,401

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
November 25, 2024 Filed Nov 27, 2024 22:50 UTC
Cheng JordanGeneral Counsel & Secretary
Exercise / conversionCommon Stock 2,127 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-028201 · form4.xml · nonDerivative · entry 1

Cheng Jordan · CIK 0001998222 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,512

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
November 08, 2024 Filed Nov 12, 2024 23:17 UTC
Cheng JordanGeneral Counsel & Secretary
SaleCommon Stock 22,000 $14.83 $326,180.80
Disclosure

SEC source: 0001127602-24-027104 · form4.xml · nonDerivative · entry 1

Cheng Jordan · CIK 0001998222 · General Counsel & Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 89,385

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 date at prices ranging from $14.68 to $14.97. 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
November 07, 2024 Filed Nov 8, 2024 22:31 UTC
Sanborn ScottDirector · CEO
SaleCommon Stock 17,000 $14.89 $253,124.90
Disclosure

SEC source: 0001127602-24-026861 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,339,273

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan (the "Plan") to diversify the assets of the Reporting Person. As disclosed in, and as of the filing date of, the Issuer's Form 10-Q for the period ending June 30, 2024, the maximum number of shares that can be sold under the Plan, inclusive of the reported transaction, represents 4.2% of the Reporting Person's equity interest in the Issuer. Transactions effected pursuant to the Plan represent the first sales of Issuer stock by the Reporting Person during his eight years as Chief Executive Officer, other than sales in connection with equity related tax obligations.

F2 · price: This transaction was executed in multiple trades during the date at prices ranging from $14.62 to $15.20. 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.

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November 05, 2024 Filed Nov 7, 2024 22:40 UTC
Selleck ErinDirector
SaleCommon Stock 703 $13.66 $9,602.98
Disclosure

SEC source: 0001127602-24-026758 · form4.xml · nonDerivative · entry 1

Selleck Erin · CIK 0001644258 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 64,774

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

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October 29, 2024 Filed Oct 31, 2024 21:34 UTC SaleCommon Stock 2,500 $14.36 $35,894.75
Disclosure

SEC source: 0001127602-24-026164 · form4.xml · nonDerivative · entry 1

Morris John C. · CIK 0001431297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 203,348

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October 03, 2024 Filed Oct 4, 2024 20:51 UTC
Sanborn ScottDirector · CEO
SaleCommon Stock 17,000 $11.09 $188,533.40
Disclosure

SEC source: 0001127602-24-025262 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,356,273

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan (the "Plan") to diversify the assets of the Reporting Person. As disclosed in, and as of the filing date of, the Issuer's Form 10-Q for the period ending June 30, 2024, the maximum number of shares that can be sold under the Plan, inclusive of the reported transaction, represents 4.2% of the Reporting Person's equity interest in the Issuer. Transactions effected pursuant to the Plan represent the first sales of Issuer stock by the Reporting Person during his eight years as Chief Executive Officer, other than sales in connection with equity related tax obligations.

F2 · price: This transaction was executed in multiple trades during the date at prices ranging from $10.94 to $11.20. 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.

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September 05, 2024 Filed Sep 6, 2024 21:33 UTC
Sanborn ScottDirector · CEO
SaleCommon Stock 17,000 $11.36 $193,145.50
Disclosure

SEC source: 0001127602-24-023631 · form4.xml · nonDerivative · entry 1

Sanborn Scott · CIK 0001397362 · Director · CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,373,273

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan (the "Plan") to diversify the assets of the Reporting Person. As disclosed in, and as of the filing date of, the Issuer's Form 10-Q for the period ending June 30, 2024, the maximum number of shares that can be sold under the Plan, inclusive of the reported transaction, represents 4.2% of the Reporting Person's equity interest in the Issuer. Transactions effected pursuant to the Plan represent the first sales of Issuer stock by the Reporting Person during his eight years as Chief Executive Officer, other than sales in connection with equity related tax obligations.

F2 · price: This transaction was executed in multiple trades during the date at prices ranging from $11.23 to $11.62. 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.

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August 25, 2024 Filed Aug 28, 2024 18:19 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,865 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023086 · form4.xml · derivative · entry 7

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,646

Underlying: Common Stock · 8,865 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 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2024 Filed Aug 28, 2024 18:19 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,749 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023086 · form4.xml · derivative · entry 6

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,494

Underlying: Common Stock · 7,749 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 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2024 Filed Aug 28, 2024 18:19 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,279 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023086 · form4.xml · derivative · entry 5

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,559

Underlying: Common Stock · 4,279 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 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2024 Filed Aug 28, 2024 18:19 UTC
ARMSTRONG ANNIEChief Risk Officer
Tax withholdingCommon Stock 11,231 $12.33 $138,478.23
Disclosure

SEC source: 0001127602-24-023086 · form4.xml · nonDerivative · entry 4

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 351,144

F2 · shares: Does not represent a sale of 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, 2024 Filed Aug 28, 2024 18:19 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 8,865 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023086 · form4.xml · nonDerivative · entry 3

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 362,375

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, 2024 Filed Aug 28, 2024 18:19 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 7,749 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023086 · form4.xml · nonDerivative · entry 2

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,510

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, 2024 Filed Aug 28, 2024 18:19 UTC
ARMSTRONG ANNIEChief Risk Officer
Exercise / conversionCommon Stock 4,279 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023086 · form4.xml · nonDerivative · entry 1

ARMSTRONG ANNIE · CIK 0001816970 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 345,761

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, 2024 Filed Aug 28, 2024 22:31 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,117 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023090 · form4.xml · derivative · entry 7

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,173

Underlying: Common Stock · 3,117 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 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2024 Filed Aug 28, 2024 22:31 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,646 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023090 · form4.xml · derivative · entry 6

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,874

Underlying: Common Stock · 5,646 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 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2024 Filed Aug 28, 2024 22:31 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,117 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023090 · form4.xml · derivative · entry 5

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,236

Underlying: Common Stock · 3,117 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 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.

F4 · derivative.expiration_date: Not applicable.

Read SEC document
August 25, 2024 Filed Aug 28, 2024 22:31 UTC
Stack FergalSVP, Corporate Controller
Tax withholdingCommon Stock 4,676 $12.33 $57,655.08
Disclosure

SEC source: 0001127602-24-023090 · form4.xml · nonDerivative · entry 4

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 222,408

F2 · shares: Does not represent a sale of 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, 2024 Filed Aug 28, 2024 22:31 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 3,117 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023090 · form4.xml · nonDerivative · entry 3

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,084

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, 2024 Filed Aug 28, 2024 22:31 UTC
Stack FergalSVP, Corporate Controller
Exercise / conversionCommon Stock 5,646 $0.00 $0.00
Disclosure

SEC source: 0001127602-24-023090 · form4.xml · nonDerivative · entry 2

Stack Fergal · CIK 0001714400 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 223,967

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

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

Read SEC document

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