Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Live Oak Bancshares, Inc.LOB · Entity 2023 | Director | November 05, 2020 | November 09, 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.
Live Oak Bancshares, Inc.
Report date November 05, 2020 · Filed November 09, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | Direct | 198,300 |
Ending reported balance
After 2020-11-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-11-05 · Exercise / conversion · Acquired 15,000 · Balance 213,300 Row 2 · 2020-11-05 · Sale · Disposed 15,000 · Balance 198,300 F1: This transaction was executed in multiple trades at prices ranging from $40.55 to $40.80. The price reported in Column 4 is a weighted average price. 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 trades were effected. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.40 · Expires 2024-03-26 | Direct | 15,000 |
Reported balance
After 2020-11-05 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-11-05 · Exercise / conversion · Disposed 15,000 · Balance 15,000 F2: The shares subject to this option vest and become exercisable yearly in seven installments beginning on March 26, 2015, as follows: 10% of the shares subject to the option vest on each of March 26, 2015, 2016, 2017, 2018, and 2019; and 25% of the shares subject to the option vest on each of March 26, 2020 and 2021. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 4,160 |
Reported balance
Holding disclosure · report date 2020-11-05 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 4,160 F3: Each restricted stock unit represents a contingent right to receive one share of Live Oak Bancshares, Inc. voting common stock. F4: The restricted stock units vest on May 1, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $40.55 to $40.80. The price reported in Column 4 is a weighted average price. 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 trades were effected.
F2: The shares subject to this option vest and become exercisable yearly in seven installments beginning on March 26, 2015, as follows: 10% of the shares subject to the option vest on each of March 26, 2015, 2016, 2017, 2018, and 2019; and 25% of the shares subject to the option vest on each of March 26, 2020 and 2021.
F3: Each restricted stock unit represents a contingent right to receive one share of Live Oak Bancshares, Inc. voting common stock.
F4: The restricted stock units vest on May 1, 2021.
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 05, 2020 Filed Nov 9, 2020 16:32 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $4.40 | $0.00 |
DisclosureSEC source: 0001209191-20-057454 · doc4.xml · derivative · entry 3 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Voting Common Stock · 15,000 shares Expires 2024-03-26 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. F2 · derivative.exercise_date: The shares subject to this option vest and become exercisable yearly in seven installments beginning on March 26, 2015, as follows: 10% of the shares subject to the option vest on each of March 26, 2015, 2016, 2017, 2018, and 2019; and 25% of the shares subject to the option vest on each of March 26, 2020 and 2021. Read SEC document |
| November 05, 2020 Filed Nov 9, 2020 16:32 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | SaleVoting Common Stock | 15,000 | $40.60 | $609,015.00 |
DisclosureSEC source: 0001209191-20-057454 · doc4.xml · nonDerivative · entry 2 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,300 F1 · price: This transaction was executed in multiple trades at prices ranging from $40.55 to $40.80. The price reported in Column 4 is a weighted average price. 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 trades were effected. Read SEC document |
| November 05, 2020 Filed Nov 9, 2020 16:32 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 15,000 | $4.40 | $66,000.00 |
DisclosureSEC source: 0001209191-20-057454 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 213,300 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 |
| May 12, 2020 Filed May 14, 2020 17:47 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantRestricted Stock Units · Derivative | 4,160 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-029272 · doc4.xml · derivative · entry 2 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,160 Underlying: Voting Common Stock · 4,160 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Live Oak Bancshares, Inc. voting common stock. F2 · derivative.exercise_date: The restricted stock units vest on May 1, 2021. F2 · derivative.expiration_date: The restricted stock units vest on May 1, 2021. Read SEC document |
| May 01, 2020 Filed May 5, 2020 18:28 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionRestricted Stock Units · Derivative | 2,990 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-027270 · doc4.xml · derivative · entry 2 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Voting Common Stock · 2,990 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 represents a contingent right to receive one share of Live Oak Bancshares, Inc. voting common stock. F2 · derivative.exercise_date: The restricted stock units vested on May 1, 2020. F2 · derivative.expiration_date: The restricted stock units vested on May 1, 2020. Read SEC document |
| May 01, 2020 Filed May 5, 2020 18:28 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 2,990 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-027270 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,300 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 Live Oak Bancshares, Inc. voting common stock. Read SEC document |
| May 15, 2019 Filed May 16, 2019 18:06 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030580 · doc4.xml · derivative · entry 3 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Voting Common Stock · 2,000 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 represents a contingent right to receive one share of Live Oak Bancshares, Inc. voting common stock. F3 · derivative.exercise_date: The restricted stock units vested on May 15, 2019. F3 · derivative.expiration_date: The restricted stock units vested on May 15, 2019. Read SEC document |
| May 15, 2019 Filed May 16, 2019 18:06 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 2,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-030580 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,310 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 Live Oak Bancshares, Inc. voting common stock. Read SEC document |
| May 14, 2019 Filed May 16, 2019 18:06 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantRestricted Stock Units · Derivative | 2,990 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030580 · doc4.xml · derivative · entry 2 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,990 Underlying: Voting Common Stock · 2,990 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Live Oak Bancshares, Inc. voting common stock. F2 · derivative.exercise_date: The restricted stock units vest on May 1, 2020. F2 · derivative.expiration_date: The restricted stock units vest on May 1, 2020. Read SEC document |
| January 28, 2019 Filed Jan 31, 2019 16:42 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GiftVoting Common Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-006169 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,310 Read SEC document |
| December 12, 2018 Filed Dec 12, 2018 17:48 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | PurchaseVoting Common Stock | 2,000 | $14.13 | $28,264.60 |
DisclosureSEC source: 0001209191-18-062290 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,310 F1 · price: This transaction was executed in multiple trades at prices ranging from $14.1179 to $14.159. The price reported in Column 4 is a weighted average price. 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 trades were effected. Read SEC document |
| May 15, 2018 Filed May 17, 2018 17:30 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantRestricted Stock Units · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-031089 · doc4.xml · derivative · entry 2 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Voting Common Stock · 2,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Live Oak Bancshares, Inc. voting common stock. F2 · derivative.exercise_date: The restricted stock units vest on May 15, 2019. F2 · derivative.expiration_date: The restricted stock units vest on May 15, 2019. Read SEC document |
| May 09, 2018 Filed May 11, 2018 16:23 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionRestricted Stock Units · Derivative | 1,210 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-029561 · doc4.xml · derivative · entry 2 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Voting Common Stock · 1,210 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 represents a contingent right to receive one share of Live Oak Bancshares voting common stock. F2 · derivative.exercise_date: The restricted stock units vested on May 9, 2018. F2 · derivative.expiration_date: The restricted stock units vested on May 9, 2018. Read SEC document |
| May 09, 2018 Filed May 11, 2018 16:23 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 1,210 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-029561 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,310 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 Live Oak Bancshares voting common stock. Read SEC document |
| June 02, 2017 Filed Jun 7, 2017 16:18 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GiftVoting Common Stock | 8,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-038286 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,100 Read SEC document |
| May 24, 2017 Filed May 25, 2017 17:37 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionRestricted Stock Units · Derivative | 1,892 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-035517 · doc4.xml · derivative · entry 2 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Voting Common Stock · 1,892 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 represents a contingent right to receive one share of Live Oak Bancshares voting common stock. F2 · derivative.exercise_date: The restricted stock units vest on May 24, 2017. F2 · derivative.expiration_date: The restricted stock units vest on May 24, 2017. Read SEC document |
| May 24, 2017 Filed May 25, 2017 17:37 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 1,892 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035517 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,100 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 Live Oak Bancshares voting common stock. Read SEC document |
| May 09, 2017 Filed May 11, 2017 17:01 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantRestricted Stock Units · Derivative | 1,210 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-031569 · doc4.xml · derivative · entry 2 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,210 Underlying: Voting Common Stock · 1,210 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Live Oak Bancshares voting common stock. F2 · derivative.exercise_date: The restricted stock units vest on May 9, 2018. F2 · derivative.expiration_date: The restricted stock units vest on May 9, 2018. Read SEC document |
| February 06, 2017 Filed Feb 8, 2017 16:45 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GiftVoting Common Stock | 385 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-008700 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,208 Read SEC document |
| October 31, 2016 Filed Nov 7, 2016 16:58 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GiftVoting Common Stock | 900 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148667 · doc4.xml · nonDerivative · entry 1 LANDIS H K · CIK 0001045064 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,593 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.