Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Amalgamated Financial Corp.AMAL · Entity 1203 | SEVP & CFO | March 09, 2021 | March 11, 2021 |
| Bakkt, Inc.BKKT · Entity 5873 | Chief Financial Officer | April 15, 2022 | April 19, 2022 |
| Happen, Inc.HAPN · Entity 4526 | Chief Financial Officer | August 25, 2026 | August 27, 2026 |
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.
Amalgamated Financial Corp.
Report date March 09, 2021 · Filed March 11, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 26,254 |
Reported balance
After 2021-03-09 transaction · row 1
1 source rowRow 1 · 2021-03-09 · Exercise / conversion · Disposed 784 · Balance 26,254 F1: This represents shares withheld for taxes related to the vesting of a restricted stock unit grant of 6918 on March 9, 2020 which has previously been reported and vests in equal 1/3 annual installments, beginning on March 9, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: This represents shares withheld for taxes related to the vesting of a restricted stock unit grant of 6918 on March 9, 2020 which has previously been reported and vests in equal 1/3 annual installments, beginning on March 9, 2021.
Bakkt, Inc.
Report date April 15, 2022 · Filed April 19, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 320,414 |
Reported balance
After 2022-04-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-04-15 · Tax withholding · Disposed 33,744 · Balance 320,414 F1: In connection with the vesting and settlement of restricted stock units through the issuance of Class A Common Stock of the Issuer pursuant to the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan, the Issuer withheld Class A Common Stock that would otherwise have been issued to the Reporting Person to satisfy his tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on April 18, 2022. F2: Includes 287,491 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the vesting and settlement of restricted stock units through the issuance of Class A Common Stock of the Issuer pursuant to the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan, the Issuer withheld Class A Common Stock that would otherwise have been issued to the Reporting Person to satisfy his tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on April 18, 2022.
F2: Includes 287,491 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting.
Happen, Inc.
Report date August 25, 2026 · Filed August 27, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 233,617 |
Ending reported balance
After 2026-08-25 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2026-08-25 · Exercise / conversion · Acquired 12,274 · Balance 233,300 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 2 · 2026-08-25 · Exercise / conversion · Acquired 7,509 · Balance 240,809 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 3 · 2026-08-25 · Exercise / conversion · Acquired 6,179 · Balance 246,988 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 4 · 2026-08-25 · Tax withholding · Disposed 13,371 · Balance 233,617 F2: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 24,549 |
Reported balance
After 2026-08-25 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-08-25 · Exercise / conversion · Disposed 12,274 · Balance 24,549 F1: 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: The RSUs vested as to 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 45,052 |
Reported balance
After 2026-08-25 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-08-25 · Exercise / conversion · Disposed 7,509 · Balance 45,052 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F6: The RSUs vested as to 8.33% of the total shares on May 25, 2025, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 61,795 |
Reported balance
After 2026-08-25 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-08-25 · Exercise / conversion · Disposed 6,179 · Balance 61,795 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F7: The RSUs vested as to 8.33% of the total shares on May 25, 2026, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5: Not applicable. |
| Common StockSEC Table I · non-derivative | IndirectUTMAs for Children | 12,000 |
Reported balance
Holding disclosure · report date 2026-08-25 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 12,000 F3: Aggregates 6,000 shares of Issuer's common stock held in each of two UTMA accounts for children of the Reporting Person. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.
F2: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.
F3: Aggregates 6,000 shares of Issuer's common stock held in each of two UTMA accounts for children of the Reporting Person.
F4: The RSUs vested as to 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F5: Not applicable.
F6: The RSUs vested as to 8.33% of the total shares on May 25, 2025, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F7: The RSUs vested as to 8.33% of the total shares on May 25, 2026, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
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 25, 2023 Filed Nov 28, 2023 23:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 15,890 | $5.61 | $89,142.90 |
DisclosureSEC source: 0001127602-23-028368 · form4.xml · nonDerivative · entry 3 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 89,182 F2 · shares: Does not represent a sale of 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, 2023 Filed Nov 28, 2023 23:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 10,849 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-028368 · form4.xml · nonDerivative · entry 2 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 105,072 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, 2023 Filed Nov 28, 2023 23:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 20,005 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-028368 · form4.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 94,223 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 31, 2023 Filed Nov 2, 2023 22:08 UTC | Happen, Inc. LC · Entity 4526 | PurchaseCommon Stock | 10,000 | $5.20 | $51,956.00 |
DisclosureSEC source: 0001127602-23-026696 · form4.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,218 F1 · price: This transaction was executed in multiple trades during the date at prices ranging from $5.18 to $5.20. 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, 2023 Filed Aug 29, 2023 22:36 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 10,848 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-023398 · form4.xml · derivative · entry 5 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 108,485 Underlying: Common Stock · 10,848 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 ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2023 Filed Aug 29, 2023 22:36 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 80,018 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-023398 · form4.xml · derivative · entry 4 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 160,037 Underlying: Common Stock · 80,018 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 ("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 33.33% of the total shares on August 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2023 Filed Aug 29, 2023 22:36 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 46,784 | $6.88 | $321,873.92 |
DisclosureSEC source: 0001127602-23-023398 · form4.xml · nonDerivative · entry 3 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,218 F2 · shares: Does not represent a sale of 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 |
| August 25, 2023 Filed Aug 29, 2023 22:36 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 10,848 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-023398 · form4.xml · nonDerivative · entry 2 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 111,002 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, 2023 Filed Aug 29, 2023 22:36 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 80,018 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-023398 · form4.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,154 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2023 Filed May 30, 2023 23:15 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 10,848 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-017091 · form4.xml · derivative · entry 3 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 119,333 Underlying: Common Stock · 10,848 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 ("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 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2023 Filed May 30, 2023 23:15 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,712 | $8.10 | $46,267.20 |
DisclosureSEC source: 0001127602-23-017091 · form4.xml · nonDerivative · entry 2 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,136 F2 · shares: Does not represent a sale of 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 |
| May 25, 2023 Filed May 30, 2023 23:15 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 10,848 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-017091 · form4.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,848 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 |
| March 12, 2023 Filed Mar 14, 2023 23:15 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 130,181 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-010155 · form4.xml · derivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,181 Underlying: Common Stock · 130,181 shares Expires not disclosed F1 · derivative.exercise_price: Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock F1 · derivative.exercise_date: Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest as to 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| November 04, 2022 Filed Nov 9, 2022 00:16 UTC | Happen, Inc. LC · Entity 4526 | PurchaseCommon Stock | 12,300 | $9.52 | $117,083.70 |
DisclosureSEC source: 0001127602-22-025161 · form4.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 F1 · price: This transaction was executed in multiple trades during the date at prices ranging from $9.51 to $9.54. 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 15, 2022 Filed Apr 19, 2022 23:03 UTC | Bakkt, Inc. BKKT · Entity 5873 | Tax withholdingClass A Common Stock | 33,744 | $4.64 | $156,572.16 |
DisclosureSEC source: 0001209191-22-024835 · doc4.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,414 F1 · shares: In connection with the vesting and settlement of restricted stock units through the issuance of Class A Common Stock of the Issuer pursuant to the Bakkt Holdings, Inc. 2021 Omnibus Employee Incentive Plan, the Issuer withheld Class A Common Stock that would otherwise have been issued to the Reporting Person to satisfy his tax withholding obligations. The number of shares withheld was determined based on the closing price per share of Class A Common Stock on April 18, 2022. F2 · balance_after: Includes 287,491 shares of Class A Common Stock subject to restricted stock units that remain subject to vesting. Read SEC document |
| February 15, 2022 Filed Feb 18, 2022 00:06 UTC | Bakkt, Inc. BKKT · Entity 5873 | GrantClass A Common Stock | 87,491 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-011029 · doc4.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 354,158 F1 · shares: These securities are Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock. Subject to the Reporting Person's continuing employment with the Issuer, the RSU will vest in three equal annual installments on the first three anniversaries of February 1, 2022, provided that the Reporting Person continues to be employed by the Issuer as of each vest date. F2 · balance_after: Includes 354,158 shares of Class A Common Stock subject to RSUs that remain subject to vesting. Read SEC document |
| January 21, 2022 Filed Jan 25, 2022 22:16 UTC | Bakkt, Inc. BKKT · Entity 5873 | GrantClass A Common Stock | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-004834 · doc4.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 266,667 F1 · shares: These securities are Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock. The RSUs shall vest in three equal annual installments on the first three anniversaries of January 21, 2022, provided that the Reporting Person continues to be employed by the Issuer as of each vest date. F2 · balance_after: Includes 266,667 shares of Class A Common Stock subject to RSU awards that remain subject to vesting. Read SEC document |
| December 21, 2021 Filed Dec 23, 2021 23:13 UTC | Bakkt, Inc. BKKT · Entity 5873 | GrantClass A Common Stock | 66,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-071152 · doc4.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,677 F1 · shares: These securities are Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock. The RSUs shall vest in full on April 15, 2022 subject to the Reporting Person's continued employment with the Issuer through such date. Read SEC document |
| March 09, 2021 Filed Mar 11, 2021 21:33 UTC | Amalgamated Financial Corp. AMAL · Entity 1203 | Exercise / conversionCommon Stock | 784 | $18.05 | $14,151.20 |
DisclosureSEC source: 0001847231-21-000001 · primary_doc.xml · nonDerivative · entry 1 LaBenne Andrew · CIK 0001847231 · SEVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,254 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 represents shares withheld for taxes related to the vesting of a restricted stock unit grant of 6918 on March 9, 2020 which has previously been reported and vests in equal 1/3 annual installments, beginning on March 9, 2021. 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.