Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Happen, Inc.HAPN · Entity 4526 | Director · CEO | 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.
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 | 1,462,774 |
Ending reported balance
After 2026-08-26 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2026-08-25 · Exercise / conversion · Acquired 13,151 · Balance 1,491,714 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 8,045 · Balance 1,499,759 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 6,621 · Balance 1,506,380 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 14,856 · Balance 1,491,524 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. Row 5 · 2026-08-26 · Sale · Disposed 28,750 · Balance 1,462,774 F3: This transaction was effected pursuant to a Rule 10b5-1 trading plan (the "Plan") to diversify the assets of the Reporting Person. As disclosed in, and as of the filing date of, the Issuer's Form 10-Q for the period ending March 31, 2026 the maximum number of shares that can be sold under the Plan, inclusive of the reported transaction, represents 9.4% of the Reporting Person's equity interest in the Issuer. F4: This transaction was executed in multiple trades during the date at prices ranging from $18.13 to $18.40. 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. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 26,302 |
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 13,151 · Balance 26,302 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. F5: 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. F6: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 48,270 |
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 8,045 · Balance 48,270 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, 2025, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F6: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 66,209 |
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 6,621 · Balance 66,209 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. F8: 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. F6: Not applicable. |
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: This transaction was effected pursuant to a Rule 10b5-1 trading plan (the "Plan") to diversify the assets of the Reporting Person. As disclosed in, and as of the filing date of, the Issuer's Form 10-Q for the period ending March 31, 2026 the maximum number of shares that can be sold under the Plan, inclusive of the reported transaction, represents 9.4% of the Reporting Person's equity interest in the Issuer.
F4: This transaction was executed in multiple trades during the date at prices ranging from $18.13 to $18.40. 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.
F5: 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.
F6: Not applicable.
F7: 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.
F8: 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 |
|---|---|---|---|---|---|---|
| August 25, 2021 Filed Aug 27, 2021 23:06 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,496 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024470 · form4.xml · nonDerivative · entry 7 Sanborn Scott · CIK 0001397362 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 832,616 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, 2021 Filed Aug 27, 2021 23:06 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,257 | $29.08 | $152,873.56 |
DisclosureSEC source: 0001127602-21-024470 · form4.xml · nonDerivative · entry 6 Sanborn Scott · CIK 0001397362 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 819,120 F3 · 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, 2021 Filed Aug 27, 2021 23:06 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,984 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024470 · form4.xml · nonDerivative · entry 5 Sanborn Scott · CIK 0001397362 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 824,377 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, 2021 Filed Aug 27, 2021 23:06 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,366 | $29.08 | $156,043.28 |
DisclosureSEC source: 0001127602-21-024470 · form4.xml · nonDerivative · entry 4 Sanborn Scott · CIK 0001397362 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 814,393 F3 · 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, 2021 Filed Aug 27, 2021 23:06 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 10,190 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024470 · form4.xml · nonDerivative · entry 3 Sanborn Scott · CIK 0001397362 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 819,759 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, 2021 Filed Aug 27, 2021 23:06 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,912 | $29.08 | $142,840.96 |
DisclosureSEC source: 0001127602-21-024470 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 809,569 F3 · 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, 2021 Filed Aug 27, 2021 23:06 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024470 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 814,481 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. F2 · balance_after: The Amount of Securities Beneficially Owned has been reduced by one share to reflect rounding in connection with the Issuer's reverse stock split on July 5, 2019. Read SEC document |
| May 25, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,758 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · derivative · entry 15 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,338 Underlying: Common Stock · 11,758 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. F8 · derivative.exercise_date: The RSUs vested as to 8.33% of the total shares on May 25, 2021, 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, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,496 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · derivative · entry 14 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,453 Underlying: Common Stock · 13,496 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. F7 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% 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, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,984 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · derivative · entry 13 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,889 Underlying: Common Stock · 9,984 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. F6 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% 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, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 10,190 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · derivative · entry 12 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,380 Underlying: Common Stock · 10,190 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 25% of the total shares on May 25, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,328 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · derivative · entry 11 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,986 Underlying: Common Stock · 9,328 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 6.25% of the total shares on May 25, 2018, with an additional 6.25% 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, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 6,191 | $13.90 | $86,054.90 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 10 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 805,153 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 |
| May 25, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 11,758 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 9 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 811,344 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, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 7,106 | $13.90 | $98,773.40 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 8 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 799,586 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 |
| May 25, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,496 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 7 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 806,692 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, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,257 | $13.90 | $73,072.30 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 6 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 793,196 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 |
| May 25, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,984 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 5 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 798,453 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, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,366 | $13.90 | $74,587.40 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 4 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 788,469 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 |
| May 25, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 10,190 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 793,835 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, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,912 | $13.90 | $68,276.80 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 783,645 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 |
| May 25, 2021 Filed May 28, 2021 00:27 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,328 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018259 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 788,557 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 |
| April 07, 2021 Filed Apr 9, 2021 20:44 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 6,249 | $16.00 | $100,014.62 |
DisclosureSEC source: 0001127602-21-013568 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 779,229 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · kind: Proceeds to be used by the Reporting Person to satisfy tax obligations in connection with an earlier exercise of LendingClub stock options. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $15.80 to $16.19. 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 19, 2021 Filed Mar 23, 2021 23:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 52,667 | $0.00 Strike: $3.48 | $0.00 |
DisclosureSEC source: 0001127602-21-011866 · form4.xml · derivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,333 Underlying: Common Stock · 52,667 shares Expires 2022-10-16 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option is fully exercisable. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 23:28 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 19,293 | $21.72 | $419,043.96 |
DisclosureSEC source: 0001127602-21-011866 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 785,478 Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 23:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 52,667 | $3.48 | $183,017.83 |
DisclosureSEC source: 0001127602-21-011866 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 804,771 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 |
| March 09, 2021 Filed Mar 11, 2021 23:59 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 141,096 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-010295 · form4.xml · derivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,096 Underlying: Common Stock · 141,096 shares Expires not disclosed F1 · derivative.exercise_date: 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 · 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| March 03, 2021 Filed Mar 5, 2021 00:48 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 8,523 | $11.73 | $100,000.36 |
DisclosureSEC source: 0001127602-21-009475 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 752,104 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · kind: Proceeds to be used by the Reporting Person to satisfy tax obligations in connection with an earlier exercise of LendingClub stock options. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $11.64 to $11.81. 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, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,495 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · derivative · entry 15 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,949 Underlying: Common Stock · 13,495 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. F8 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 10,190 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · derivative · entry 14 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,570 Underlying: Common Stock · 10,190 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. F7 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,984 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · derivative · entry 13 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,873 Underlying: Common Stock · 9,984 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. F6 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,329 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · derivative · entry 12 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,314 Underlying: Common Stock · 9,329 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 6.25% of the total shares on May 25, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 6,881 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · derivative · entry 11 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,881 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 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. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 7,106 | $11.99 | $85,200.94 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 10 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 760,627 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 |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,495 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 9 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 767,733 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 |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,366 | $11.99 | $64,338.34 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 8 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 754,238 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 |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 10,190 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 7 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 759,604 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 |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,257 | $11.99 | $63,031.43 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 6 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 749,414 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 |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,984 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 5 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 754,671 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 |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,912 | $11.99 | $58,894.88 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 4 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,687 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 |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,329 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 749,599 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 |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,623 | $10.86 | $39,345.78 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 740,270 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 |
| February 25, 2021 Filed Mar 2, 2021 00:42 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 6,881 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008541 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 743,893 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 |
| January 13, 2021 Filed Jan 15, 2021 23:12 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 9,043 | $11.06 | $100,001.11 |
DisclosureSEC source: 0001127602-21-001786 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 737,012 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · kind: Proceeds to be used by the Reporting Person to satisfy tax obligations in connection with an earlier exercise of LendingClub stock options. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $11.03 to $11.31. 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 21, 2020 Filed Dec 23, 2020 23:32 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 11,992 | $8.34 | $100,003.69 |
DisclosureSEC source: 0001127602-20-032301 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 746,055 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · kind: Proceeds to be used by the Reporting Person to satisfy tax obligations in connection with an earlier exercise of LendingClub stock options. F3 · price: This transaction was executed in multiple trades during the day at prices ranging from $8.25 to $8.47. 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 25, 2020 Filed Nov 30, 2020 23:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,496 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030134 · form4.xml · derivative · entry 18 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,444 Underlying: Common Stock · 13,496 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. F9 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 23:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 10,190 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030134 · form4.xml · derivative · entry 17 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,760 Underlying: Common Stock · 10,190 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. F8 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 23:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,984 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030134 · form4.xml · derivative · entry 16 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,857 Underlying: Common Stock · 9,984 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. F7 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 23:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,382 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030134 · form4.xml · derivative · entry 15 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,382 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. F6 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2019, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 23:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,328 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030134 · form4.xml · derivative · entry 14 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,643 Underlying: Common Stock · 9,328 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 6.25% of the total shares on May 25, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. 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.