Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AVANTAX, INC.BCOR · Entity 107910 | Director | April 26, 2021 | April 28, 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.
AVANTAX, INC.
Report date April 26, 2021 · Filed April 28, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 29,737 |
Reported balance
After 2021-04-26 transaction · row 1
1 source rowRow 1 · 2021-04-26 · Grant · Acquired 8,012 · Balance 29,737 F1: Reflects a grant of restricted stock units ("RSUs") that was made to the Reporting Person on April 26, 2021 and that will vest on the earlier of the one-year anniversary of the date of grant or the first annual stockholders meeting following such date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects a grant of restricted stock units ("RSUs") that was made to the Reporting Person on April 26, 2021 and that will vest on the earlier of the one-year anniversary of the date of grant or the first annual stockholders meeting following such date of grant.
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 January 18, 2017 · Filed January 20, 2017
Section 16 reporting ended · disclosed 2017-01-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 411,470 |
Reported balance
After 2017-01-18 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-01-18 · Exercise / conversion · Acquired 25,000 · Balance 411,470 F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2016. |
| Common StockSEC Table I · non-derivative | Direct | 386,470 |
Reported balance
After 2017-01-18 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2017-01-18 · Sale · Disposed 25,000 · Balance 386,470 F2: This transaction was executed in multiple trades during the day at prices ranging from $5.42 to $5.53. 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. F3: Includes 352,707 unvested restricted stock units granted under the LendingClub Corporation 2014 Equity Incentive Plan that were forfeited upon separation from the Issuer |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.70 · Expires 2017-04-19 | Direct | 689,740 |
Reported balance
After 2017-01-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-01-18 · Exercise / conversion · Disposed 25,000 · Balance 689,740 F4: In connection with the reporting person's separation from the Company, the award is due to expire on 4/19/2017. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.99 · Expires 2017-04-19 | Direct | 211,712 |
Reported balance
Holding disclosure · report date 2017-01-18 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 211,712 F4: In connection with the reporting person's separation from the Company, the award is due to expire on 4/19/2017. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.41 · Expires 2017-04-19 | Direct | 109,963 |
Reported balance
Holding disclosure · report date 2017-01-18 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 109,963 F4: In connection with the reporting person's separation from the Company, the award is due to expire on 4/19/2017. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2016.
F2: This transaction was executed in multiple trades during the day at prices ranging from $5.42 to $5.53. 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.
F3: Includes 352,707 unvested restricted stock units granted under the LendingClub Corporation 2014 Equity Incentive Plan that were forfeited upon separation from the Issuer
F4: In connection with the reporting person's separation from the Company, the award is due to expire on 4/19/2017.
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 |
|---|---|---|---|---|---|---|
| April 26, 2021 Filed Apr 28, 2021 17:15 UTC | AVANTAX, INC. BCOR · Entity 107910 | GrantCommon Stock | 8,012 | $0.00 | $0.00 |
DisclosureSEC source: 0001068875-21-000054 · wf-form4_161964453091288.xml · nonDerivative · entry 1 MacIlwaine John · CIK 0001625128 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,737 F1 · shares: Reflects a grant of restricted stock units ("RSUs") that was made to the Reporting Person on April 26, 2021 and that will vest on the earlier of the one-year anniversary of the date of grant or the first annual stockholders meeting following such date of grant. Read SEC document |
| May 21, 2020 Filed May 26, 2020 17:12 UTC | AVANTAX, INC. BCOR · Entity 107910 | GrantCommon Stock | 11,061 | $0.00 | $0.00 |
DisclosureSEC source: 0001068875-20-000116 · wf-form4_159052750849980.xml · nonDerivative · entry 1 MacIlwaine John · CIK 0001625128 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,725 F1 · shares: Reflects a grant of restricted stock units that will vest on the earlier of the one-year anniversary of the date of grant or the first annual stockholders meeting after the grant date. Read SEC document |
| May 23, 2019 Filed May 24, 2019 16:54 UTC | AVANTAX, INC. BCOR · Entity 107910 | GrantCommon Stock | 3,972 | $0.00 | $0.00 |
DisclosureSEC source: 0001625128-19-000001 · wf-form4_155873128390815.xml · nonDerivative · entry 1 MacIlwaine John · CIK 0001625128 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,664 F1 · shares: Reflects a grant of restricted stock units that will vest on the earlier of the one-year anniversary of the date of grant or the first annual stockholders meeting after the grant date. Read SEC document |
| July 10, 2018 Filed Jul 12, 2018 16:46 UTC | AVANTAX, INC. BCOR · Entity 107910 | GrantCommon Stock | 6,692 | $0.00 | $0.00 |
DisclosureSEC source: 0001625128-18-000004 · wf-form4_153142838317526.xml · nonDerivative · entry 1 MacIlwaine John · CIK 0001625128 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,692 F1 · shares: Reflects (a) an initial grant of 3,807 restricted stock units ("RSUs") that was made to the reporting person upon joining the Board of Directors that will vest equally over a three-year period on each anniversary of the grant date, and (b) an annual grant of 2,885 RSUs that will vest on the one-year anniversary of the date of grant. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 22:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0001127602-17-002182 · form4.xml · derivative · entry 3 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 689,740 Underlying: Common Stock · 25,000 shares Expires 2017-04-19 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: In connection with the reporting person's separation from the Company, the award is due to expire on 4/19/2017. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 22:11 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 25,000 | $5.48 | $136,925.00 |
DisclosureSEC source: 0001127602-17-002182 · form4.xml · nonDerivative · entry 2 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,470 F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.42 to $5.53. 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. F3 · balance_after: Includes 352,707 unvested restricted stock units granted under the LendingClub Corporation 2014 Equity Incentive Plan that were forfeited upon separation from the Issuer Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 22:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 25,000 | $0.70 | $17,375.00 |
DisclosureSEC source: 0001127602-17-002182 · form4.xml · nonDerivative · entry 1 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,470 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2016. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 22:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0001127602-17-002079 · form4.xml · derivative · entry 3 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 714,740 Underlying: Common Stock · 25,000 shares Expires 2022-10-16 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. F3 · derivative.exercise_date: In connection with a domestic relations settlement and the acceleration of certain of the option shares, which modified the option's original vesting schedule, the option vested as to the total shares granted (the "total shares") as follows: (i) 5.68% on July 19, 2013, (ii) 22.73% on July 31, 2013, (iii) 4.23% on October 31, 2013, (iv) 7.10% on each of January 31, 2014 and January 31, 2015, (v) 4.01% on April 30, 2014, (vi) 6.25% on each of July 31, 2014, April 30, 2015 and July 31, 2015, (vii) 5.4% on October 31, 2014; and will vest as to the total shares as follows: (i) 5.40% on October 31, 2015, (ii) 7.10% on January 31, 2016, (iii) 6.25% on each of April 30, 2016 and July 31, 2016; subject to continued service through each vesting date. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 22:00 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 25,000 | $5.49 | $137,240.00 |
DisclosureSEC source: 0001127602-17-002079 · form4.xml · nonDerivative · entry 2 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,470 F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.43 to $5.60. 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 |
| January 17, 2017 Filed Jan 19, 2017 22:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 25,000 | $0.70 | $17,375.00 |
DisclosureSEC source: 0001127602-17-002079 · form4.xml · nonDerivative · entry 1 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,470 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2016. Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 22:47 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0001127602-16-067016 · form4.xml · derivative · entry 6 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 739,740 Underlying: Common Stock · 25,000 shares Expires 2022-10-16 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: In connection with a domestic relations settlement and the acceleration of certain of the option shares, which modified the option's original vesting schedule, the option vested as to the total shares granted (the "total shares") as follows: (i) 5.68% on July 19, 2013, (ii) 22.73% on July 31, 2013, (iii) 4.23% on October 31, 2013, (iv) 7.10% on each of January 31, 2014 and January 31, 2015, (v) 4.01% on April 30, 2014, (vi) 6.25% on each of July 31, 2014, April 30, 2015 and July 31, 2015, (vii) 5.4% on October 31, 2014; and will vest as to the total shares as follows: (i) 5.40% on October 31, 2015, (ii) 7.10% on January 31, 2016, (iii) 6.25% on each of April 30, 2016 and July 31, 2016; subject to continued service through each vesting date. Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 22:47 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 25,000 | $5.87 | $146,805.00 |
DisclosureSEC source: 0001127602-16-067016 · form4.xml · nonDerivative · entry 4 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,470 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2016. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.725 to $6.01. 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. F4 · balance_after: Includes 2,162 shares acquired on November 10, 2016 under the LendingClub Corporation 2014 Employee Stock Purchase Plan. Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 22:47 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 25,000 | $0.70 | $17,375.00 |
DisclosureSEC source: 0001127602-16-067016 · form4.xml · nonDerivative · entry 3 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,470 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 22:47 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0001127602-16-067016 · form4.xml · derivative · entry 5 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 764,740 Underlying: Common Stock · 25,000 shares Expires 2022-10-16 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: In connection with a domestic relations settlement and the acceleration of certain of the option shares, which modified the option's original vesting schedule, the option vested as to the total shares granted (the "total shares") as follows: (i) 5.68% on July 19, 2013, (ii) 22.73% on July 31, 2013, (iii) 4.23% on October 31, 2013, (iv) 7.10% on each of January 31, 2014 and January 31, 2015, (v) 4.01% on April 30, 2014, (vi) 6.25% on each of July 31, 2014, April 30, 2015 and July 31, 2015, (vii) 5.4% on October 31, 2014; and will vest as to the total shares as follows: (i) 5.40% on October 31, 2015, (ii) 7.10% on January 31, 2016, (iii) 6.25% on each of April 30, 2016 and July 31, 2016; subject to continued service through each vesting date. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 22:47 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 25,000 | $5.60 | $139,967.50 |
DisclosureSEC source: 0001127602-16-067016 · form4.xml · nonDerivative · entry 2 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,308 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2016. F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.545 to $5.64. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 22:47 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 25,000 | $0.70 | $17,375.00 |
DisclosureSEC source: 0001127602-16-067016 · form4.xml · nonDerivative · entry 1 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 409,308 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 |
| October 18, 2016 Filed Oct 19, 2016 21:59 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0001127602-16-065021 · form4.xml · derivative · entry 6 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 789,740 Underlying: Common Stock · 25,000 shares Expires 2022-10-16 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: In connection with a domestic relations settlement and the acceleration of certain of the option shares, which modified the option's original vesting schedule, the option vested as to the total shares granted (the "total shares") as follows: (i) 5.68% on July 19, 2013, (ii) 22.73% on July 31, 2013, (iii) 4.23% on October 31, 2013, (iv) 7.10% on each of January 31, 2014 and January 31, 2015, (v) 4.01% on April 30, 2014, (vi) 6.25% on each of July 31, 2014, April 30, 2015 and July 31, 2015, (vii) 5.4% on October 31, 2014; and will vest as to the total shares as follows: (i) 5.40% on October 31, 2015, (ii) 7.10% on January 31, 2016, (iii) 6.25% on each of April 30, 2016 and July 31, 2016; subject to continued service through each vesting date. Read SEC document |
| October 18, 2016 Filed Oct 19, 2016 21:59 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 25,000 | $4.94 | $123,427.50 |
DisclosureSEC source: 0001127602-16-065021 · form4.xml · nonDerivative · entry 4 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,308 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2016. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $4.87 to $5.00. 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 |
| October 18, 2016 Filed Oct 19, 2016 21:59 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 25,000 | $0.70 | $17,375.00 |
DisclosureSEC source: 0001127602-16-065021 · form4.xml · nonDerivative · entry 3 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 409,308 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 |
| October 17, 2016 Filed Oct 19, 2016 21:59 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $0.70 | $0.00 |
DisclosureSEC source: 0001127602-16-065021 · form4.xml · derivative · entry 5 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 814,740 Underlying: Common Stock · 25,000 shares Expires 2022-10-16 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: In connection with a domestic relations settlement and the acceleration of certain of the option shares, which modified the option's original vesting schedule, the option vested as to the total shares granted (the "total shares") as follows: (i) 5.68% on July 19, 2013, (ii) 22.73% on July 31, 2013, (iii) 4.23% on October 31, 2013, (iv) 7.10% on each of January 31, 2014 and January 31, 2015, (v) 4.01% on April 30, 2014, (vi) 6.25% on each of July 31, 2014, April 30, 2015 and July 31, 2015, (vii) 5.4% on October 31, 2014; and will vest as to the total shares as follows: (i) 5.40% on October 31, 2015, (ii) 7.10% on January 31, 2016, (iii) 6.25% on each of April 30, 2016 and July 31, 2016; subject to continued service through each vesting date. Read SEC document |
| October 17, 2016 Filed Oct 19, 2016 21:59 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 25,000 | $5.09 | $127,145.00 |
DisclosureSEC source: 0001127602-16-065021 · form4.xml · nonDerivative · entry 2 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,308 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2016. F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $4.88 to $5.38. 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 |
| October 17, 2016 Filed Oct 19, 2016 21:59 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 25,000 | $0.70 | $17,375.00 |
DisclosureSEC source: 0001127602-16-065021 · form4.xml · nonDerivative · entry 1 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 409,308 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 |
| September 26, 2016 Filed Sep 28, 2016 21:59 UTC | Happen, Inc. LC · Entity 4526 | GrantCommon Stock | 245,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-063354 · form4.xml · nonDerivative · entry 1 MacIlwaine John · CIK 0001625128 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 384,308 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.