Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Affirm Holdings, Inc.AFRM · Entity 1572 | Chief Risk & Strategy Officer | June 01, 2021 | June 03, 2021 |
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.
Affirm Holdings, Inc.
Report date June 01, 2021 · Filed June 03, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 59,227 |
Ending reported balance
After 2021-06-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-06-01 · Exercise / conversion · Acquired 3,333 · Balance 60,880 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. Row 2 · 2021-06-01 · Tax withholding · Disposed 1,653 · Balance 59,227 F2: Represents the number of shares of the Issuer's Common Stock withheld to satisfy the Reporting Person's tax obligation in connection with the settlement of shares of Class A Common Stock underlying the Reporting Person's restricted stock units that vested on June 1, 2021. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2027-12-31 | Direct | 63,334 |
Reported balance
After 2021-06-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-06-01 · Exercise / conversion · Disposed 3,333 · Balance 63,334 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. F3: Restricted stock units vest with respect to the shares of Class A Common Stock underlying the restricted stock units in monthly installments for a period of twenty-four months beginning on January 1, 2021, the vesting commencement date, subject to the Reporting Person's continued employment with the Issuer as of each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.
F2: Represents the number of shares of the Issuer's Common Stock withheld to satisfy the Reporting Person's tax obligation in connection with the settlement of shares of Class A Common Stock underlying the Reporting Person's restricted stock units that vested on June 1, 2021.
F3: Restricted stock units vest with respect to the shares of Class A Common Stock underlying the restricted stock units in monthly installments for a period of twenty-four months beginning on January 1, 2021, the vesting commencement date, subject to the Reporting Person's continued employment with the Issuer as of each vesting date.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Happen, Inc.
Report date October 06, 2017 · Filed October 06, 2017
Section 16 reporting ended · disclosed 2017-10-06. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
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 |
|---|---|---|---|---|---|---|
| June 01, 2021 Filed Jun 3, 2021 18:11 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionRestricted Stock Units · Derivative | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001820953-21-000058 · wf-form4_162275824240397.xml · derivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,334 Underlying: Class A Common Stock · 3,333 shares Expires 2027-12-31 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. F3 · derivative.exercise_date: Restricted stock units vest with respect to the shares of Class A Common Stock underlying the restricted stock units in monthly installments for a period of twenty-four months beginning on January 1, 2021, the vesting commencement date, subject to the Reporting Person's continued employment with the Issuer as of each vesting date. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 18:11 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Tax withholdingClass A Common Stock | 1,653 | $62.52 | $103,345.56 |
DisclosureSEC source: 0001820953-21-000058 · wf-form4_162275824240397.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,227 F2 · shares: Represents the number of shares of the Issuer's Common Stock withheld to satisfy the Reporting Person's tax obligation in connection with the settlement of shares of Class A Common Stock underlying the Reporting Person's restricted stock units that vested on June 1, 2021. Read SEC document |
| June 01, 2021 Filed Jun 3, 2021 18:11 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionClass A Common Stock | 3,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001820953-21-000058 · wf-form4_162275824240397.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,880 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. Read SEC document |
| May 01, 2021 Filed May 4, 2021 17:19 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionRestricted Stock Units · Derivative | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001820953-21-000048 · wf-form4_162016316645620.xml · derivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,667 Underlying: Class A Common Stock · 3,333 shares Expires 2027-12-31 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. F3 · derivative.exercise_date: Restricted stock units vest with respect to the shares of Class A Common Stock underlying the restricted stock units in monthly installments for a period of twenty-four months beginning on January 1, 2021, the vesting commencement date, subject to the Reporting Person's continued employment with the Issuer as of each vesting date. Read SEC document |
| May 01, 2021 Filed May 4, 2021 17:19 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Tax withholdingClass A Common Stock | 1,653 | $70.50 | $116,536.50 |
DisclosureSEC source: 0001820953-21-000048 · wf-form4_162016316645620.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,547 F2 · shares: Represents the number of shares of the Issuer's Common Stock withheld to satisfy the Reporting Person's tax obligation in connection with the settlement of shares of Class A Common Stock underlying the Reporting Person's restricted stock units that vested on May 1, 2021. Read SEC document |
| May 01, 2021 Filed May 4, 2021 17:19 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionClass A Common Stock | 3,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001820953-21-000048 · wf-form4_162016316645620.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,200 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 20:51 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionRestricted Stock Units · Derivative | 3,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001820953-21-000040 · wf-form4_161767017964467.xml · derivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Class A Common Stock · 3,334 shares Expires 2027-12-31 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. F2 · derivative.exercise_date: Restricted stock unit grant started vesting on January 1, 2021, and vests in equal monthly installments for a period of twenty-four months ending January 1, 2023, subject to the Reporting Person's continued employment with the Issuer as of each vesting date. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 20:51 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Tax withholdingClass A Common Stock | 1,653 | $71.45 | $118,106.85 |
DisclosureSEC source: 0001820953-21-000040 · wf-form4_161767017964467.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,867 Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 20:51 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionClass A Common Stock | 3,334 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001820953-21-000040 · wf-form4_161767017964467.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,520 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 21:13 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionStock Option (Right to Buy) · Derivative | 84,790 | $0.00 Strike: $2.04 | $0.00 |
DisclosureSEC source: 0001820953-21-000020 · wf-form4_161499677612334.xml · derivative · entry 5 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,039,210 Underlying: Class A Common Stock · 84,790 shares Expires 2027-10-30 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: Stock option vests with respect to 1/4 of the shares of Class A Common Stock underlying the stock option on the one-year anniversary of October 8, 2017, the vesting commencement date, and the remaining 3/4 of the shares underlying the option vest in equal monthly installments over the subsequent three years, in each case subject to continued service with the Issuer. The Reporting Person can elect to exercise the stock option at any time, provided that the shares acquired upon exercise remain subject to the applicable vesting schedule. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 21:13 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | SaleClass A Common Stock | 1,980 | $91.22 | $180,605.90 |
DisclosureSEC source: 0001820953-21-000020 · wf-form4_161499677612334.xml · nonDerivative · entry 4 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,186 F3 · price: Represents the weighted average sale price of the shares sold from $91.02 to $91.41 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 21:13 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | SaleClass A Common Stock | 51,126 | $89.29 | $4,565,142.79 |
DisclosureSEC source: 0001820953-21-000020 · wf-form4_161499677612334.xml · nonDerivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,166 F2 · price: Represents the weighted average sale price of the shares sold from $89.01 to $89.74 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 21:13 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | SaleClass A Common Stock | 31,684 | $88.46 | $2,802,921.89 |
DisclosureSEC source: 0001820953-21-000020 · wf-form4_161499677612334.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,292 F1 · price: Represents the weighted average sale price of the shares sold from $88.01 to $89.00 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 21:13 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionClass A Common Stock | 84,790 | $2.04 | $172,971.60 |
DisclosureSEC source: 0001820953-21-000020 · wf-form4_161499677612334.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,976 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. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 20:31 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionRestricted Stock Units · Derivative | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001820953-21-000008 · wf-form4_161482140826960.xml · derivative · entry 6 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,334 Underlying: Class A Common Stock · 3,333 shares Expires 2027-12-31 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. F2 · derivative.exercise_date: Restricted stock unit grant started vesting on January 1, 2021, and vests in equal monthly installments for a period of twenty-four months ending January 1, 2023, subject to the Reporting Person's continued employment with the Issuer as of each vesting date. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 20:31 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Tax withholdingClass A Common Stock | 1,247 | $91.44 | $114,025.68 |
DisclosureSEC source: 0001820953-21-000008 · wf-form4_161482140826960.xml · nonDerivative · entry 4 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,186 Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 20:31 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionClass A Common Stock | 3,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001820953-21-000008 · wf-form4_161482140826960.xml · nonDerivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,433 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. Read SEC document |
| February 01, 2021 Filed Mar 3, 2021 20:31 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionRestricted Stock Units · Derivative | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001820953-21-000008 · wf-form4_161482140826960.xml · derivative · entry 5 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,667 Underlying: Class A Common Stock · 3,333 shares Expires 2027-12-31 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. F2 · derivative.exercise_date: Restricted stock unit grant started vesting on January 1, 2021, and vests in equal monthly installments for a period of twenty-four months ending January 1, 2023, subject to the Reporting Person's continued employment with the Issuer as of each vesting date. Read SEC document |
| February 01, 2021 Filed Mar 3, 2021 20:31 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Tax withholdingClass A Common Stock | 1,233 | $107.61 | $132,683.13 |
DisclosureSEC source: 0001820953-21-000008 · wf-form4_161482140826960.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,100 Read SEC document |
| February 01, 2021 Filed Mar 3, 2021 20:31 UTC | Affirm Holdings, Inc. AFRM · Entity 1572 | Exercise / conversionClass A Common Stock | 3,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001820953-21-000008 · wf-form4_161482140826960.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Risk & Strategy Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,333 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 represents a contingent right to receive one share of the Issuer's Class A Common Stock. Read SEC document |
| August 29, 2017 Filed Aug 29, 2017 21:39 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 16,028 | $6.07 | $97,277.14 |
DisclosureSEC source: 0001127602-17-026653 · form4.xml · nonDerivative · entry 4 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,475 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 $6.11. 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 26, 2017 Filed Aug 29, 2017 21:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 6,676 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026653 · form4.xml · derivative · entry 7 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,411 Underlying: Common Stock · 6,676 shares Expires 2025-08-26 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. F6 · derivative.exercise_date: The restricted stock units vested as to 25% of the total shares on August 26, 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 26, 2017 Filed Aug 29, 2017 21:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 6,676 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026653 · form4.xml · nonDerivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,503 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, 2017 Filed Aug 29, 2017 21:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 5,734 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026653 · form4.xml · derivative · entry 6 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,276 Underlying: Common Stock · 5,734 shares Expires 2027-02-24 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 restricted stock units are scheduled to vest 6.25% of the total shares on May 25, 2017, 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 21:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 17,901 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026653 · form4.xml · derivative · entry 5 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,812 Underlying: Common Stock · 17,901 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 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 21:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 5,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026653 · form4.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,827 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, 2017 Filed Aug 29, 2017 21:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 17,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026653 · form4.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,093 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 30, 2017 Filed May 31, 2017 21:29 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 3,466 | $5.62 | $19,486.55 |
DisclosureSEC source: 0001127602-17-019880 · form4.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,192 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 $5.58 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 |
| May 26, 2017 Filed May 30, 2017 22:22 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 12,391 | $5.69 | $70,554.35 |
DisclosureSEC source: 0001127602-17-019747 · form4.xml · nonDerivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,981 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 $5.63 to $5.735. 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 26, 2017 Filed May 31, 2017 21:29 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 6,677 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019880 · form4.xml · derivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,087 Underlying: Common Stock · 6,677 shares Expires 2025-08-26 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 25% of the total shares on August 26, 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 26, 2017 Filed May 31, 2017 21:29 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 6,677 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019880 · form4.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,658 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 |
| May 25, 2017 Filed May 30, 2017 22:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 5,734 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019747 · form4.xml · derivative · entry 5 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,010 Underlying: Common Stock · 5,734 shares Expires 2027-02-24 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. F5 · derivative.exercise_date: Represents 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 are scheduled to vest 6.25% of the total shares on May 25, 2017, 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 22:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 17,901 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019747 · form4.xml · derivative · entry 4 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,713 Underlying: Common Stock · 17,901 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 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 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 22:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 5,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019747 · form4.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,372 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · 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 |
| May 25, 2017 Filed May 30, 2017 22:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 17,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019747 · form4.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,638 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 |
| May 24, 2017 Filed May 26, 2017 21:45 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 69,050 | $5.87 | $405,150.88 |
DisclosureSEC source: 0001127602-17-019580 · form4.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,737 F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.81 to $5.925. 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 12, 2017 Filed May 15, 2017 22:01 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 53,500 | $5.84 | $312,541.65 |
DisclosureSEC source: 0001127602-17-018139 · form4.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,787 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 $5.82 to $5.88. 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 11, 2017 Filed May 15, 2017 22:01 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 122,550 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-018139 · form4.xml · derivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 122,550 shares Expires 2026-05-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The award is fully vested as of May 11, 2017 Read SEC document |
| May 11, 2017 Filed May 15, 2017 22:01 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 122,550 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-018139 · form4.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,287 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 Feb 28, 2017 23:01 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 8,898 | $5.66 | $50,347.55 |
DisclosureSEC source: 0001127602-17-008973 · form4.xml · nonDerivative · entry 3 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,737 F3 · 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. F4 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.64 to $5.685. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| February 26, 2017 Filed Feb 28, 2017 23:01 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 6,676 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008973 · form4.xml · derivative · entry 6 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,764 Underlying: Common Stock · 6,676 shares Expires 2025-08-26 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. F7 · 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 25% of the total shares on August 26, 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 26, 2017 Filed Feb 28, 2017 23:01 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 6,676 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008973 · form4.xml · nonDerivative · entry 2 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,635 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. F2 · 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 25, 2017 Filed Feb 28, 2017 23:01 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 17,901 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008973 · form4.xml · derivative · entry 5 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,614 Underlying: Common Stock · 17,901 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. F6 · derivative.exercise_date: Represents 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 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 Feb 28, 2017 23:01 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 17,901 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008973 · form4.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,959 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 24, 2017 Filed Feb 28, 2017 23:01 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 91,744 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008973 · form4.xml · derivative · entry 4 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,744 Underlying: Common Stock · 91,744 shares Expires 2027-02-24 F5 · derivative.exercise_date: Represents 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 are scheduled to vest 6.25% of the total shares on May 25, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| November 28, 2016 Filed Nov 30, 2016 23:41 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 9,453 | $5.81 | $54,889.79 |
DisclosureSEC source: 0001127602-16-068709 · form4.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 496,563 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 $5.771 to $5.84. 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 21:53 UTC | Happen, Inc. LC · Entity 4526 | GrantCommon Stock | 286,416 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-063352 · form4.xml · nonDerivative · entry 1 BHANDARI SANDEEP · CIK 0001651479 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 506,016 F1 · shares: Represents 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 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.