Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Happen, Inc.LC · Entity 4526 | Director · Chief Financial Officer | June 02, 2022 | August 30, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Happen, Inc.
Report date June 02, 2022 · Filed August 30, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 49,816 |
Ending reported balance
After 2022-08-25 transaction · row 7
7 source rows · reconciled sequenceRow 1 · 2022-06-02 · Gift · Disposed 46,837 · Balance 2,922 F1: Transaction represents the transfer of 46,837 shares by the Reporting Person of Issuer common stock by bona fide gift. Row 2 · 2022-08-25 · Exercise / conversion · Acquired 8,985 · Balance 11,907 F2: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 3 · 2022-08-25 · Exercise / conversion · Acquired 12,596 · Balance 24,503 F2: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 4 · 2022-08-25 · Exercise / conversion · Acquired 36,058 · Balance 60,561 F2: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 5 · 2022-08-25 · Exercise / conversion · Acquired 12,194 · Balance 72,755 F2: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 6 · 2022-08-25 · Exercise / conversion · Acquired 8,558 · Balance 81,313 F2: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 7 · 2022-08-25 · Tax withholding · Disposed 31,497 · Balance 49,816 F3: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 17,972 |
Reported balance
After 2022-08-25 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2022-08-25 · Exercise / conversion · Disposed 8,985 · Balance 17,972 F2: 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: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 75,576 |
Reported balance
After 2022-08-25 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2022-08-25 · Exercise / conversion · Disposed 12,596 · Balance 75,576 F2: 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: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 72,116 |
Reported balance
After 2022-08-25 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2022-08-25 · Exercise / conversion · Disposed 36,058 · Balance 72,116 F2: 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: The RSUs vested as to 25% of the total shares on May 25, 2022, with an additional 25% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F5: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 73,161 |
Reported balance
After 2022-08-25 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2022-08-25 · Exercise / conversion · Disposed 12,194 · Balance 73,161 F2: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F8: The RSUs vested as to 8.33% of the total shares on May 25, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 85,584 |
Reported balance
After 2022-08-25 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2022-08-25 · Exercise / conversion · Disposed 8,558 · Balance 85,584 F2: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F9: 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: Not applicable. |
| Common StockSEC Table I · non-derivative | IndirectCasey Family Revocable Trust | 12,750 |
Reported balance
Holding disclosure · report date 2022-06-02 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 12,750 |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction represents the transfer of 46,837 shares by the Reporting Person of Issuer common stock by bona fide gift.
F2: 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: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.
F4: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F5: Not applicable.
F6: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F7: The RSUs vested as to 25% of the total shares on May 25, 2022, with an additional 25% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.
F8: The RSUs vested as to 8.33% of the total shares on May 25, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F9: 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.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 28,180 | $3.09 | $87,076.20 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,688 F3 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 53,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,868 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 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 29,469 | $3.09 | $91,059.21 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,345 F3 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 55,970 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,814 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 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 7,271 | $3.09 | $22,467.39 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,844 F3 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,115 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 under the LendingClub Corporation 2014 Employee Stock Purchase Plan on May 10, 2019. Read SEC document |
| March 12, 2019 Filed Mar 14, 2019 22:25 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 214,090 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC 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 | Happen, Inc. LC · Entity 4526 | PurchaseCommon Stock | 15,000 | $2.98 | $44,700.00 |
DisclosureSEC 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 25, 2019 Filed Feb 27, 2019 02:18 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 55,970 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-008581 · form4.xml · derivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 671,643 Underlying: Common Stock · 55,970 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 02:18 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,809 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-008581 · form4.xml · derivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,857 Underlying: Common Stock · 13,809 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on November 25, 2016, 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 02:18 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 29,469 | $3.13 | $92,237.97 |
DisclosureSEC source: 0001127602-19-008581 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,805 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 27, 2019 02:18 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 55,970 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-008581 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,274 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 02:18 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 7,271 | $3.10 | $22,540.10 |
DisclosureSEC source: 0001127602-19-008581 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,304 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 27, 2019 02:18 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,809 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-008581 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,575 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 24, 2019 Filed Feb 27, 2019 02:18 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 718,850 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-008581 · form4.xml · derivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 718,850 Underlying: Common Stock · 718,850 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. F3 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest as to 6.25% of the total shares on May 25, 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 |
| November 25, 2018 Filed Nov 28, 2018 01:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 55,970 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-034555 · form4.xml · derivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 727,613 Underlying: Common Stock · 55,970 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. F5 · derivative.expiration_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. Read SEC document |
| November 25, 2018 Filed Nov 28, 2018 01:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,809 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-034555 · form4.xml · derivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,666 Underlying: Common Stock · 13,809 shares Expires 2026-09-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F4 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on November 25, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| November 25, 2018 Filed Nov 28, 2018 01:42 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 34,597 | $3.47 | $120,051.59 |
DisclosureSEC source: 0001127602-18-034555 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,766 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 |
| November 25, 2018 Filed Nov 28, 2018 01:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 55,970 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-034555 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,363 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, 2018 Filed Nov 28, 2018 01:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,809 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-034555 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,393 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 November 10, 2018 under the LendingClub Corporation 2014 Employee Stock Purchase Plan. Read SEC document |
| August 25, 2018 Filed Aug 28, 2018 21:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 55,970 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-026415 · form4.xml · derivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783,583 Underlying: Common Stock · 55,970 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F4 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 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: 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. Read SEC document |
| August 25, 2018 Filed Aug 28, 2018 21:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,810 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-026415 · form4.xml · derivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,475 Underlying: Common Stock · 13,810 shares Expires 2026-09-26 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, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| August 25, 2018 Filed Aug 28, 2018 21:57 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 34,597 | $3.84 | $132,852.48 |
DisclosureSEC source: 0001127602-18-026415 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,084 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2018 Filed Aug 28, 2018 21:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 55,970 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-026415 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,681 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, 2018 Filed Aug 28, 2018 21:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-026415 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,711 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, 2018 Filed May 30, 2018 23:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 55,970 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-019270 · form4.xml · derivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 839,553 Underlying: Common Stock · 55,970 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. F5 · derivative.expiration_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. Read SEC document |
| May 25, 2018 Filed May 30, 2018 23:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,809 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-019270 · form4.xml · derivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,285 Underlying: Common Stock · 13,809 shares Expires 2026-09-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F4 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on November 25, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| May 25, 2018 Filed May 30, 2018 23:28 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 27,750 | $3.26 | $90,465.00 |
DisclosureSEC source: 0001127602-18-019270 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,901 F3 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2018 Filed May 30, 2018 23:28 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 6,847 | $3.37 | $23,074.39 |
DisclosureSEC source: 0001127602-18-019270 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,651 F3 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2018 Filed May 30, 2018 23:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 55,970 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-019270 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,498 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, 2018 Filed May 30, 2018 23:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,809 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-019270 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,528 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, 2018 under the LendingClub Corporation 2014 Employee Stock Purchase Plan. Read SEC document |
| February 25, 2018 Filed Feb 28, 2018 00:31 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,810 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-008883 · form4.xml · derivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,094 Underlying: Common Stock · 13,810 shares Expires 2026-09-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F4 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on November 25, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| February 25, 2018 Filed Feb 28, 2018 00:31 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 7,716 | $3.35 | $25,848.60 |
DisclosureSEC source: 0001127602-18-008883 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,219 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, 2018 Filed Feb 28, 2018 00:31 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-008883 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,935 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 24, 2018 Filed Feb 28, 2018 00:31 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 895,523 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-008883 · form4.xml · derivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 895,523 Underlying: Common Stock · 895,523 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. F3 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest as to 6.25% of the total shares on May 25, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F3 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest as to 6.25% of the total shares on May 25, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| November 25, 2017 Filed Nov 29, 2017 00:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,809 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-033401 · form4.xml · derivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,904 Underlying: Common Stock · 13,809 shares Expires 2026-09-26 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, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| November 25, 2017 Filed Nov 29, 2017 00:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 7,206 | $4.26 | $30,697.56 |
DisclosureSEC source: 0001127602-17-033401 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,125 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 |
| November 25, 2017 Filed Nov 29, 2017 00:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,809 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-033401 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,331 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 14, 2017 Filed Nov 15, 2017 22:13 UTC | Happen, Inc. LC · Entity 4526 | PurchaseCommon Stock | 10,000 | $4.17 | $41,679.00 |
DisclosureSEC source: 0001127602-17-032216 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,522 F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $4.165 to $4.1684. 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 · balance_after: Includes 2,051 shares acquired on November 10, 2017 under the LendingClub Corporation 2014 Employee Stock Purchase Plan. Read SEC document |
| August 28, 2017 Filed Aug 29, 2017 21:47 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 7,287 | $6.08 | $44,320.99 |
DisclosureSEC source: 0001127602-17-026659 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,471 F2 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $6.035 to $6.17. 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 |
| August 25, 2017 Filed Aug 29, 2017 21:47 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,809 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026659 · form4.xml · derivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,713 Underlying: Common Stock · 13,809 shares Expires 2026-09-26 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 restricted stock units vested as to 6.25% of the total shares on November 25, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 21:47 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,809 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026659 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,758 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 26, 2017 Filed May 30, 2017 22:35 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 5,254 | $5.65 | $29,692.98 |
DisclosureSEC source: 0001127602-17-019755 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,949 F2 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.62 to $5.73. 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 |
| May 25, 2017 Filed May 30, 2017 22:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,810 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019755 · form4.xml · derivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,522 Underlying: Common Stock · 13,810 shares Expires 2026-09-26 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: Represents the remaining unvested portion of a grant of restricted stock units under the LendingClub Corporation 2014 Equity Incentive Plan. Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The restricted stock units vested as to 6.25% of the total shares on November 25, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| May 25, 2017 Filed May 30, 2017 22:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019755 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,203 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 · shares: Represents the conversion upon vesting of restricted stock units into common stock. Such restricted stock units were previously reported in Table II. Read SEC document |
| February 27, 2017 Filed Mar 2, 2017 01:11 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 4,942 | $5.65 | $27,935.15 |
DisclosureSEC source: 0001127602-17-009415 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,393 F2 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.62 to $5.665. 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, 2017 Filed Mar 2, 2017 01:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,809 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-009415 · form4.xml · derivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,332 Underlying: Common Stock · 13,809 shares Expires 2026-09-26 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: Represents the remaining unvested portion of a grant of restricted stock units under the LendingClub Corporation 2014 Equity Incentive Plan. Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The restricted stock units vested as to 6.25% of the total shares on November 25, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| February 25, 2017 Filed Mar 2, 2017 01:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,809 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-009415 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,335 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 · shares: Represents the conversion upon vesting of restricted stock units into common stock. Such restricted stock units were previously reported in Table II. Read SEC document |
| November 28, 2016 Filed Dec 1, 2016 00:49 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 5,283 | $5.84 | $30,838.98 |
DisclosureSEC source: 0001127602-16-068718 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,667 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.81 to $5.86. 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 |
| September 26, 2016 Filed Sep 28, 2016 23:07 UTC | Happen, Inc. LC · Entity 4526 | GrantStock Option (right to buy) · Derivative | 1,038,349 | $0.00 Strike: $6.11 | $0.00 |
DisclosureSEC source: 0001127602-16-063374 · form4.xml · derivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,038,349 Underlying: Common Stock · 1,038,349 shares Expires 2026-09-26 F2 · derivative.exercise_date: The options are scheduled to vest 6.25% of the total shares on November 25, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. 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.