Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
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 December 31, 2018 · Filed February 26, 2019
Section 16 reporting ended · disclosed 2019-02-26. 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 |
|---|---|---|---|---|---|---|
| January 25, 2018 Filed Jan 29, 2018 16:56 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 8,787 | $4.08 | $35,850.96 |
DisclosureSEC source: 0001127602-18-002799 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 318,070 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| January 25, 2018 Filed Jan 29, 2018 16:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,724 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-002799 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 326,857 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 |
| December 25, 2017 Filed Dec 27, 2017 16:52 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-035538 · form4.xml · derivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456,030 Underlying: Common Stock · 15,725 shares Expires 2026-05-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs vested as to 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| December 25, 2017 Filed Dec 27, 2017 16:52 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 8,206 | $4.11 | $33,726.66 |
DisclosureSEC source: 0001127602-17-035538 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 311,133 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| December 25, 2017 Filed Dec 27, 2017 16:52 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,725 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-035538 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 319,339 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| November 25, 2017 Filed Nov 28, 2017 17:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 17,202 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-033385 · form4.xml · derivative · entry 5 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,625 Underlying: Common Stock · 17,202 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. F4 · derivative.exercise_date: The RSUs 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 25, 2017 Filed Nov 28, 2017 17:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-033385 · form4.xml · derivative · entry 4 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 471,755 Underlying: Common Stock · 15,725 shares Expires 2026-05-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs vested as to 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| November 25, 2017 Filed Nov 28, 2017 17:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 17,183 | $4.26 | $73,199.58 |
DisclosureSEC source: 0001127602-17-033385 · form4.xml · nonDerivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,614 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| November 25, 2017 Filed Nov 28, 2017 17:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 17,202 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-033385 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,797 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| November 25, 2017 Filed Nov 28, 2017 17:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,725 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-033385 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,595 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 |
| October 26, 2017 Filed Oct 27, 2017 17:15 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 8,351 | $5.64 | $47,103.82 |
DisclosureSEC source: 0001127602-17-030389 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,870 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 $5.6401 to $5.6450. 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 25, 2017 Filed Oct 27, 2017 17:15 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-030389 · form4.xml · derivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 487,480 Underlying: Common Stock · 15,725 shares Expires 2026-05-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F4 · derivative.exercise_date: The restricted stock units vested as to 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| October 25, 2017 Filed Oct 27, 2017 17:15 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,725 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-030389 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,221 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 |
| September 26, 2017 Filed Sep 27, 2017 17:24 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 8,141 | $6.02 | $48,988.47 |
DisclosureSEC source: 0001127602-17-028253 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,496 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 $6.01 to $6.03. 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 25, 2017 Filed Sep 27, 2017 17:24 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,724 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-028253 · form4.xml · derivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 503,205 Underlying: Common Stock · 15,724 shares Expires 2026-05-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F4 · derivative.exercise_date: The restricted stock units vested as to 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| September 25, 2017 Filed Sep 27, 2017 17:24 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,724 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-028253 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,637 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 28, 2017 Filed Aug 29, 2017 17:42 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 17,366 | $6.09 | $105,672.11 |
DisclosureSEC source: 0001127602-17-026655 · form4.xml · nonDerivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,913 F2 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $6.035 to $6.17. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 17:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 17,202 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026655 · form4.xml · derivative · entry 5 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,827 Underlying: Common Stock · 17,202 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: 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 17:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026655 · form4.xml · derivative · entry 4 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 518,929 Underlying: Common Stock · 15,725 shares Expires 2026-05-26 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: The restricted stock units vested as to 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 17:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 17,202 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026655 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,279 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 17:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,725 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-026655 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,077 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 |
| July 26, 2017 Filed Jul 27, 2017 16:52 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 8,305 | $5.08 | $42,181.93 |
DisclosureSEC source: 0001127602-17-024255 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,352 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 $5.065 to $5.095. 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 25, 2017 Filed Jul 27, 2017 16:52 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-024255 · form4.xml · derivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 534,654 Underlying: Common Stock · 15,725 shares Expires 2026-05-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F4 · derivative.exercise_date: The restricted stock units vested as to 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| July 25, 2017 Filed Jul 27, 2017 16:52 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,725 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-024255 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 265,657 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 |
| June 26, 2017 Filed Jun 27, 2017 19:06 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 8,170 | $5.70 | $46,529.78 |
DisclosureSEC source: 0001127602-17-022266 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,932 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 $5.691 to $5.70. 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 25, 2017 Filed Jun 27, 2017 19:06 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-022266 · form4.xml · derivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550,379 Underlying: Common Stock · 15,725 shares Expires 2026-05-26 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. F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, on share of the Issuer's common stock." F4 · derivative.exercise_date: The restricted stock units vested as to 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| June 25, 2017 Filed Jun 27, 2017 19:06 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,725 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-022266 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,102 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 26, 2017 Filed May 30, 2017 18:40 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 125,555 | $5.64 | $708,305.98 |
DisclosureSEC source: 0001127602-17-019758 · form4.xml · nonDerivative · entry 4 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,377 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 $5.61 to $5.7201. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| May 25, 2017 Filed May 30, 2017 18:40 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 17,201 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019758 · form4.xml · derivative · entry 7 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,029 Underlying: Common Stock · 17,201 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. 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 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 18:40 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 228,833 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019758 · form4.xml · derivative · entry 6 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 228,833 shares Expires 2026-05-26 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. F5 · derivative.exercise_date: The award is fully vested as of May 25, 2017. Read SEC document |
| May 25, 2017 Filed May 30, 2017 18:40 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,724 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019758 · form4.xml · derivative · entry 5 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 566,104 Underlying: Common Stock · 15,724 shares Expires 2026-05-26 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 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| May 25, 2017 Filed May 30, 2017 18:40 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 17,201 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019758 · form4.xml · nonDerivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,932 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 18:40 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 228,833 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019758 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,731 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 18:40 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,724 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-019758 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,898 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 |
| April 26, 2017 Filed Apr 27, 2017 18:14 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 5,857 | $5.95 | $34,877.85 |
DisclosureSEC source: 0001127602-17-015797 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,174 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 $5.92 to $5.975. 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 |
| April 25, 2017 Filed Apr 27, 2017 18:14 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-015797 · form4.xml · derivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 581,828 Underlying: Common Stock · 15,725 shares Expires 2026-05-26 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 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| April 25, 2017 Filed Apr 27, 2017 18:14 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,725 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-015797 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,031 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. Read SEC document |
| March 27, 2017 Filed Mar 28, 2017 18:34 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 5,875 | $5.23 | $30,737.41 |
DisclosureSEC source: 0001127602-17-013091 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,306 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 $5.195 to $5.27. 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 25, 2017 Filed Mar 28, 2017 18:34 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-013091 · form4.xml · derivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 597,553 Underlying: Common Stock · 15,725 shares Expires 2026-05-26 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 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. F4 · derivative.expiration_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 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| March 25, 2017 Filed Mar 28, 2017 18:34 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,725 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-013091 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,181 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. Read SEC document |
| February 27, 2017 Filed Feb 28, 2017 18:07 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 5,693 | $5.66 | $32,216.69 |
DisclosureSEC source: 0001127602-17-008975 · form4.xml · nonDerivative · entry 2 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,456 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 $5.65 to $5.68. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| February 25, 2017 Filed Feb 28, 2017 18:07 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 15,725 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008975 · form4.xml · derivative · entry 4 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 613,278 Underlying: Common Stock · 15,725 shares Expires 2026-05-26 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. F5 · 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 2.08% of the total shares monthly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date. Read SEC document |
| February 25, 2017 Filed Feb 28, 2017 18:07 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 15,725 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008975 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,149 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 18:07 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 275,230 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-17-008975 · form4.xml · derivative · entry 3 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,230 Underlying: Common Stock · 275,230 shares Expires 2027-02-24 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 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 |
| January 26, 2017 Filed Jan 30, 2017 17:45 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 6,921 | $6.07 | $42,004.93 |
DisclosureSEC source: 0001127602-17-002954 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 934,260 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 $6.055 to $6.105. 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 |
| December 27, 2016 Filed Dec 29, 2016 16:59 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 5,610 | $5.49 | $30,790.49 |
DisclosureSEC source: 0001127602-16-071025 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 941,181 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 $5.44 to $5.52. 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 28, 2016 Filed Nov 30, 2016 18:01 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 6,047 | $5.81 | $35,116.14 |
DisclosureSEC source: 0001127602-16-068698 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 946,791 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 $5.78 to $5.841. 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 26, 2016 Filed Oct 28, 2016 17:01 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 5,854 | $4.95 | $28,958.57 |
DisclosureSEC source: 0001127602-16-065487 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 952,838 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 $4.94 to $4.95. 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 18:29 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 6,105 | $6.08 | $37,139.16 |
DisclosureSEC source: 0001127602-16-063358 · form4.xml · nonDerivative · entry 1 Gulati Sameer · CIK 0001675009 · Chief Operations Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 958,692 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. 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.