Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Happen, Inc.LC · Entity 4526 | Director | November 16, 2020 | November 18, 2020 |
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 November 16, 2020 · Filed November 18, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2020-11-16 · Sale · Disposed 22,792 · Balance 0 F1: This transaction was executed in multiple trades during the day at prices ranging from $5.61 to $5.635. 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. |
| Common StockSEC Table I · non-derivative | Direct | 19,464 |
Reported balance
Holding disclosure · report date 2020-11-16 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 19,464 F2: Represents the unvested portion of previously granted Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades during the day at prices ranging from $5.61 to $5.635. 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: Represents the unvested portion of previously granted Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.
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 |
|---|---|---|---|---|---|---|
| November 16, 2020 Filed Nov 18, 2020 23:39 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 22,792 | $5.61 | $127,961.13 |
DisclosureSEC source: 0001127602-20-029506 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $5.61 to $5.635. 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 28, 2020 Filed Jun 2, 2020 01:23 UTC | Happen, Inc. LC · Entity 4526 | GrantCommon Stock | 25,952 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018312 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,952 F1 · balance_after: Represents the annual non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest quarterly over a one-year period beginning on May 28, 2020, subject to continued service through each vesting date. Read SEC document |
| June 05, 2019 Filed Jun 8, 2019 00:51 UTC | Happen, Inc. LC · Entity 4526 | GrantCommon Stock | 50,336 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-021182 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,336 F1 · shares: Represents the annual non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest quarterly over a one-year period beginning on June 5, 2019, subject to continued service through each vesting date. Read SEC document |
| February 21, 2019 Filed Feb 22, 2019 23:12 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 116,000 | $3.25 | $377,475.60 |
DisclosureSEC source: 0001127602-19-007803 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 784 F1 · price: This transaction was executed in multiple trades during the date at prices ranging from $3.23 to $3.32. 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 |
| July 20, 2018 Filed Jul 24, 2018 20:57 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 8,000 | $4.34 | $34,723.20 |
DisclosureSEC source: 0001127602-18-023791 · form4.xml · nonDerivative · entry 2 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Camelot Financial Capital Management, LLC Disclosed balance after: 0 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F3 · price: This transaction was executed in multiple trades during the date at prices ranging from $4.31 to $4.37. 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 |
| July 20, 2018 Filed Jul 24, 2018 20:57 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 42,000 | $4.33 | $181,662.60 |
DisclosureSEC source: 0001127602-18-023791 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,389 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades during the date at prices ranging from $4.29 to $4.38. 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 |
| June 22, 2018 Filed Jun 26, 2018 20:53 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 20,000 | $3.96 | $79,142.00 |
DisclosureSEC source: 0001127602-18-021908 · form4.xml · nonDerivative · entry 2 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Camelot Financial Capital Management, LLC Disclosed balance after: 8,000 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F3 · price: This transaction was executed in multiple trades during the date at prices ranging from $3.94 to $3.99. 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 |
| June 22, 2018 Filed Jun 26, 2018 20:53 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 30,000 | $3.96 | $118,770.00 |
DisclosureSEC source: 0001127602-18-021908 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,389 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades during the date at prices ranging from $3.94 to $4.00. 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 |
| May 31, 2018 Filed Jun 4, 2018 22:52 UTC | Happen, Inc. LC · Entity 4526 | GrantCommon Stock | 60,791 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-019862 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,791 F1 · shares: Represents the annual non-employee director equity award of Restricted Stock Units ("RSUs") made under the LendingClub Corporation 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs will vest quarterly over a one-year period beginning on May 31, 2018, subject to continued service through each vesting date. Read SEC document |
| May 18, 2018 Filed May 22, 2018 21:03 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 20,000 | $3.40 | $68,058.00 |
DisclosureSEC source: 0001127602-18-018434 · form4.xml · nonDerivative · entry 2 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Camelot Financial Capital Management, LLC Disclosed balance after: 28,000 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades during the date at prices ranging from $3.37 to $3.43. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| May 18, 2018 Filed May 22, 2018 21:03 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 30,000 | $3.40 | $102,066.00 |
DisclosureSEC source: 0001127602-18-018434 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,053 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades during the date at prices ranging from $3.37 to $3.43. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 23:03 UTC | Happen, Inc. LC · Entity 4526 | GrantCommon Stock | 35,336 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-020990 · form4.xml · nonDerivative · entry 2 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,336 F2 · shares: Represents the annual equity award of restricted stock units to each non-employee director pursuant to the approved non-employee director compensation plan. The award is made 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 as to 25% of the total shares quarterly, over a one-year period, beginning on June 6, 2017, subject to continued service through each vesting date. Read SEC document |
| May 16, 2017 Filed Jun 8, 2017 23:03 UTC | Happen, Inc. LC · Entity 4526 | GiftCommon Stock | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-020990 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,053 F1 · shares: This transaction represents a bona fide gift of shares to a donor advised fund. Read SEC document |
| May 10, 2017 Filed May 12, 2017 21:07 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 80,000 | $5.98 | $478,112.00 |
DisclosureSEC source: 0001127602-17-017946 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Camelot Financial Capital Management, LLC Disclosed balance after: 48,000 F1 · price: This transaction was executed in multiple trades during the date at prices ranging from $5.95 to $5.995. 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 |
| March 01, 2017 Filed Mar 3, 2017 23:09 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 64,000 | $5.25 | $336,192.00 |
DisclosureSEC source: 0001127602-17-010307 · form4.xml · nonDerivative · entry 2 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Camelot Financial Capital Management, LLC Disclosed balance after: 128,000 F2 · price: This transaction was executed in multiple trades during the date at prices ranging from $5.22 to $5.29. 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 |
| March 01, 2017 Filed Mar 3, 2017 23:09 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 186,000 | $5.25 | $977,058.00 |
DisclosureSEC source: 0001127602-17-010307 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,053 F1 · price: This transaction was executed in multiple trades during the date at prices ranging from $5.22 to $5.29. 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 15, 2016 Filed Nov 18, 2016 23:54 UTC | Happen, Inc. LC · Entity 4526 | GiftCommon Stock | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-067819 · form4.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,053 F1 · shares: This transaction represents a bona fide gift of shares to a donor advised fund. Read SEC document |
| November 15, 2016 Filed Nov 21, 2016 23:41 UTC Amendment | Happen, Inc. LC · Entity 4526 | GiftCommon Stock | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-16-067950 · form4a.xml · nonDerivative · entry 1 Williams Simon · CIK 0001328274 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,053 F1 · shares: This Form 4/A is filed solely to include the power of attorney for the reporting person. The transaction listed on this Form 4/A is not new and was previously reported on the originally -filed Form 4. 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.