Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Live Oak Bancshares, Inc.LOB · Entity 2023 | Chief Credit Officer | February 23, 2024 | February 26, 2024 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Live Oak Bancshares, Inc.
Report date February 23, 2024 · Filed February 26, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Voting Common StockSEC Table I · non-derivative | IndirectBy Steven Joseph Smits Revocable Trust | 150,577 |
Reported balance
After 2024-02-23 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-02-23 · Exercise / conversion · Acquired 1,000 · Balance 150,577 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. |
| Voting Common StockSEC Table I · non-derivative | IndirectBy Steven Joseph Smits Revocable Trust | 150,132 |
Reported balance
After 2024-02-23 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2024-02-23 · Tax withholding · Disposed 445 · Balance 150,132 |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 2,000 |
Reported balance
After 2024-02-23 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-02-23 · Exercise / conversion · Disposed 1,000 · Balance 2,000 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. F2: The RSUs vest in five equal annual installments beginning on February 22, 2022, subject to the reporting person's continuous service to the Company or a related entity on such date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 3,004 |
Reported balance
Holding disclosure · report date 2024-02-23 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 3,004 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. F3: 3,003 of the RSUs vested on each of February 10, 2022 and 2023, and February 12, 2024; and 3,004 of the RSUs will vest on February 10, 2025, subject to the reporting person's continuous service to the Company or a related entity on such date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 4,740 |
Reported balance
Holding disclosure · report date 2024-02-23 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 4,740 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. F4: The RSUs vest in five equal annual installments beginning on February 14, 2023, subject to the reporting person's continuous service to the Company or a related entity on such date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 10,242 |
Reported balance
Holding disclosure · report date 2024-02-23 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 10,242 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. F5: The RSUs vest in five pro rata annual installments beginning on February 13, 2024, subject to the reporting person's continuous service to the Company or a related entity on such date. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 13,144 |
Reported balance
Holding disclosure · report date 2024-02-23 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 13,144 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. F6: The RSUs vest in five pro rata annual installments beginning on February 12, 2025, subject to the reporting person's continuous service to the Company or a related entity on such date. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.63 · Expires 2025-02-20 | Direct | 5,001 |
Reported balance
Holding disclosure · report date 2024-02-23 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 5,001 F7: The shares subject to this option vest and become exercisable yearly in seven installments beginning on February 20, 2016, as follows: 10% of the shares subject to the option vested on each of February 20, 2016, 2017, 2018, 2019, and 2020; 25% of the shares subject to the option vested on February 20, 2021; and 25% of the shares subject to the option vested on February 20, 2022. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.00 · Expires 2025-07-22 | Direct | 7,502 |
Reported balance
Holding disclosure · report date 2024-02-23 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 7,502 F8: The shares subject to this option vest and become exercisable yearly in seven installments beginning on July 22, 2016, as follows: 10% of the shares subject to the option vested on each of July 22, 2016, 2017, 2018, 2019, and 2020; 25% of the shares subject to the option vested on July 22, 2021; and 25% of the shares subject to the option vested on July 22, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock.
F2: The RSUs vest in five equal annual installments beginning on February 22, 2022, subject to the reporting person's continuous service to the Company or a related entity on such date.
F3: 3,003 of the RSUs vested on each of February 10, 2022 and 2023, and February 12, 2024; and 3,004 of the RSUs will vest on February 10, 2025, subject to the reporting person's continuous service to the Company or a related entity on such date.
F4: The RSUs vest in five equal annual installments beginning on February 14, 2023, subject to the reporting person's continuous service to the Company or a related entity on such date.
F5: The RSUs vest in five pro rata annual installments beginning on February 13, 2024, subject to the reporting person's continuous service to the Company or a related entity on such date.
F6: The RSUs vest in five pro rata annual installments beginning on February 12, 2025, subject to the reporting person's continuous service to the Company or a related entity on such date.
F7: The shares subject to this option vest and become exercisable yearly in seven installments beginning on February 20, 2016, as follows: 10% of the shares subject to the option vested on each of February 20, 2016, 2017, 2018, 2019, and 2020; 25% of the shares subject to the option vested on February 20, 2021; and 25% of the shares subject to the option vested on February 20, 2022.
F8: The shares subject to this option vest and become exercisable yearly in seven installments beginning on July 22, 2016, as follows: 10% of the shares subject to the option vested on each of July 22, 2016, 2017, 2018, 2019, and 2020; 25% of the shares subject to the option vested on July 22, 2021; and 25% of the shares subject to the option vested on July 22, 2022.
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 |
|---|---|---|---|---|---|---|
| March 22, 2021 Filed Mar 24, 2021 21:28 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionPerformance Restricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-022901 · doc4.xml · derivative · entry 3 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Voting Common Stock · 10,000 shares Expires 2028-08-10 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. F2 · derivative.exercise_date: Ten thousand of the PRSUs vested on March 22, 2021. The vesting of these PRSUs was contingent upon the Company's voting common stock attaining a closing price equal to or greater than $50.00 per share for at least twenty (20) consecutive trading days at any time prior to August 10, 2028. On March 22, 2021, the compensation committee of the Company's board of directors certified that this stock price condition had been satisfied and that these PRSUs were vested. Ten thousand of the remaining PRSUs will vest upon the attainment of closing stock prices of $55.00 per share once they are attained for at least twenty (20) consecutive trading days at any time prior to August 10, 2028. Read SEC document |
| March 22, 2021 Filed Mar 24, 2021 21:28 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Tax withholdingVoting Common Stock | 4,471 | $65.17 | $291,375.07 |
DisclosureSEC source: 0001209191-21-022901 · doc4.xml · nonDerivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,845.978 Read SEC document |
| March 22, 2021 Filed Mar 24, 2021 21:28 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-022901 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,316.978 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. Read SEC document |
| February 22, 2021 Filed Feb 24, 2021 22:37 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-013918 · doc4.xml · derivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Voting Common Stock · 5,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. F2 · derivative.exercise_date: The RSUs vest in five equal annual installments beginning on February 22, 2022, subject to the reporting person's continuous service to the Company or a related entity on such date. F2 · derivative.expiration_date: The RSUs vest in five equal annual installments beginning on February 22, 2022, subject to the reporting person's continuous service to the Company or a related entity on such date. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 22:37 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionRestricted Stock Units · Derivative | 3,003 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-010308 · doc4.xml · derivative · entry 3 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,013 Underlying: Voting Common Stock · 3,003 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 a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. F2 · derivative.exercise_date: 3,003 of the RSUs will vest on each of February 10, 2022, 2023, and 2024; and 3,004 of the RSUs will vest on February 10, 2025, subject to the reporting person's continuous service to the Company or a related entity on such date. F2 · derivative.expiration_date: 3,003 of the RSUs will vest on each of February 10, 2022, 2023, and 2024; and 3,004 of the RSUs will vest on February 10, 2025, subject to the reporting person's continuous service to the Company or a related entity on such date. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 22:37 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Tax withholdingVoting Common Stock | 892 | $44.97 | $40,113.24 |
DisclosureSEC source: 0001209191-21-010308 · doc4.xml · nonDerivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,316.978 Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 22:37 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 3,003 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-010308 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,208.978 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 a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 22:00 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | SaleVoting Common Stock | 15,000 | $43.40 | $650,998.50 |
DisclosureSEC source: 0001209191-21-009298 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,205.978 F1 · price: This transaction was executed in multiple trades at prices ranging from $43.00 to $43.78. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| January 13, 2021 Filed Jan 16, 2021 00:13 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionPerformance Restricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-003895 · doc4.xml · derivative · entry 3 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Voting Common Stock · 10,000 shares Expires 2028-08-10 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. F2 · derivative.exercise_date: Ten thousand of the PRSUs vested on January 13, 2021. The vesting of these PRSUs was contingent upon the Company's voting common stock attaining a closing price equal to or greater than $45.00 per share for at least twenty (20) consecutive trading days at any time prior to August 10, 2028. On January 13, 2021, the compensation committee of the Company's board of directors certified that this stock price condition had been satisfied and that these PRSUs were vested. Ten thousand of the remaining PRSUs will vest upon each attainment of closing stock prices of $50.00 per share and $55.00 per share once they are attained for at least twenty (20) consecutive trading days at any time prior to August 10, 2028. Read SEC document |
| January 13, 2021 Filed Jan 16, 2021 00:13 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Tax withholdingVoting Common Stock | 4,615 | $48.90 | $225,673.50 |
DisclosureSEC source: 0001209191-21-003895 · doc4.xml · nonDerivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,205.978 Read SEC document |
| January 13, 2021 Filed Jan 16, 2021 00:13 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-003895 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,820.978 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. Read SEC document |
| December 16, 2020 Filed Dec 17, 2020 23:07 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 42,000 | $0.00 Strike: $4.40 | $0.00 |
DisclosureSEC source: 0001209191-20-064183 · doc4.xml · derivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,500 Underlying: Voting Common Stock · 42,000 shares Expires 2024-03-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The shares subject to this option vest and become exercisable yearly in seven installments beginning on March 26, 2015, as follows: 10% of the shares subject to the option vest on each of March 26, 2015, 2016, 2017, 2018, and 2019; and 25% of the shares subject to the option vest on each of March 26, 2020 and 2021. Read SEC document |
| December 16, 2020 Filed Dec 17, 2020 23:07 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 42,000 | $4.40 | $184,800.00 |
DisclosureSEC source: 0001209191-20-064183 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,820.978 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 |
| December 10, 2020 Filed Jan 27, 2023 23:18 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | SaleVoting Common Stock | 0.978 | $41.41 | $40.50 |
DisclosureSEC source: 0001209191-23-005350 · doc5.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Steven Joseph Smits Revocable Trust Disclosed balance after: 166,966 Read SEC document |
| December 08, 2020 Filed Dec 9, 2020 22:16 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionPerformance Restricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-062571 · doc4.xml · derivative · entry 3 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Voting Common Stock · 10,000 shares Expires 2028-08-10 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. F2 · derivative.exercise_date: Ten thousand of the PRSUs vested on December 8, 2020. The vesting of these PRSUs was contingent upon the Company's voting common stock attaining a closing price equal to or greater than $40.00 per share for at least twenty (20) consecutive trading days at any time prior to August 10, 2028. On December 8, 2020, the compensation committee of the Company's board of directors certified that this stock price condition had been satisfied and that these PRSUs were vested. Ten thousand of the remaining PRSUs will vest upon each attainment of closing stock prices of $45.00 per share, $50.00 per share, and $55.00 per share once they are attained for at least twenty (20) consecutive trading days at any time prior to August 10, 2028. Read SEC document |
| December 08, 2020 Filed Dec 9, 2020 22:16 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Tax withholdingVoting Common Stock | 4,470 | $41.98 | $187,650.60 |
DisclosureSEC source: 0001209191-20-062571 · doc4.xml · nonDerivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,820.978 Read SEC document |
| December 08, 2020 Filed Dec 9, 2020 22:16 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-062571 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,290.978 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. Read SEC document |
| December 02, 2020 Filed Dec 4, 2020 22:08 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionPerformance Restricted Stock Units · Derivative | 4,218 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-061828 · doc4.xml · derivative · entry 3 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Voting Common Stock · 4,218 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. F2 · derivative.exercise_date: The PRSUs vested on December 2, 2020. The vesting of the PRSUs was subject to the Company achieving total revenue of at least $100 million for the period from January 1, 2017 through December 31, 2017. This condition was satisfied on December 31, 2017. Vesting was also contingent upon the Company's voting common stock attaining a closing price equal to or greater than $38.00 per share for at least twenty (20) consecutive trading days at any time prior to January 31, 2024. On December 2, 2020, the compensation committee of the Company's board of directors certified that this stock price condition had been satisfied and that the PRSUs were vested. F2 · derivative.expiration_date: The PRSUs vested on December 2, 2020. The vesting of the PRSUs was subject to the Company achieving total revenue of at least $100 million for the period from January 1, 2017 through December 31, 2017. This condition was satisfied on December 31, 2017. Vesting was also contingent upon the Company's voting common stock attaining a closing price equal to or greater than $38.00 per share for at least twenty (20) consecutive trading days at any time prior to January 31, 2024. On December 2, 2020, the compensation committee of the Company's board of directors certified that this stock price condition had been satisfied and that the PRSUs were vested. Read SEC document |
| December 02, 2020 Filed Dec 4, 2020 22:08 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Tax withholdingVoting Common Stock | 1,886 | $43.04 | $81,173.44 |
DisclosureSEC source: 0001209191-20-061828 · doc4.xml · nonDerivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,290.978 Read SEC document |
| December 02, 2020 Filed Dec 4, 2020 22:08 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 4,218 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-061828 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,176.978 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. Read SEC document |
| November 27, 2020 Filed Dec 1, 2020 22:18 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionPerformance Restricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060926 · doc4.xml · derivative · entry 3 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Voting Common Stock · 10,000 shares Expires 2028-08-10 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. F2 · derivative.exercise_date: Ten thousand of the PRSUs vested on November 27, 2020. The vesting of these PRSUs was contingent upon the Company's voting common stock attaining a closing price equal to or greater than $35.00 per share for at least twenty (20) consecutive trading days at any time prior to August 10, 2028. On November 27, 2020, the compensation committee of the Company's board of directors certified that this stock price condition had been satisfied and that these PRSUs were vested. Ten thousand of the remaining PRSUs will vest upon each attainment of closing stock prices of $40.00 per share, $45.00 per share, $50.00 per share, and $55.00 per share once they are attained for at least twenty (20) consecutive trading days at any time prior to August 10, 2028. Read SEC document |
| November 27, 2020 Filed Dec 1, 2020 22:18 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Tax withholdingVoting Common Stock | 4,471 | $44.28 | $197,975.88 |
DisclosureSEC source: 0001209191-20-060926 · doc4.xml · nonDerivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,958.978 Read SEC document |
| November 27, 2020 Filed Dec 1, 2020 22:18 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 10,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-060926 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,429.978 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 performance restricted stock unit ("PRSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. Read SEC document |
| November 24, 2020 Filed Nov 27, 2020 19:04 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionPerformance Restricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-060630 · doc4.xml · derivative · entry 3 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Voting Common Stock · 100,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. F2 · derivative.exercise_date: The RSUs vested on November 24, 2020. The vesting of the RSUs was subject to the Company achieving total revenue of at least $100 million for the period from October 1, 2016 through September 30, 2017. This condition was satisfied as of September 30, 2017. Vesting was also contingent upon the Company's voting stock obtaining a closing price equal to or greater than $34.00 per share for at least 20 consecutive trading days at any time prior to November 30, 2023. On November 24, 2020, the compensation committee of the Company's board of directors certified that this stock price condition had been satisfied and the RSUs were vested. F2 · derivative.expiration_date: The RSUs vested on November 24, 2020. The vesting of the RSUs was subject to the Company achieving total revenue of at least $100 million for the period from October 1, 2016 through September 30, 2017. This condition was satisfied as of September 30, 2017. Vesting was also contingent upon the Company's voting stock obtaining a closing price equal to or greater than $34.00 per share for at least 20 consecutive trading days at any time prior to November 30, 2023. On November 24, 2020, the compensation committee of the Company's board of directors certified that this stock price condition had been satisfied and the RSUs were vested. Read SEC document |
| November 24, 2020 Filed Nov 27, 2020 19:04 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Tax withholdingVoting Common Stock | 44,701 | $46.09 | $2,060,269.09 |
DisclosureSEC source: 0001209191-20-060630 · doc4.xml · nonDerivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,429.978 Read SEC document |
| November 24, 2020 Filed Nov 27, 2020 19:04 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Exercise / conversionVoting Common Stock | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-060630 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,130.978 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 performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company"), voting common stock. Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:59 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantRestricted Stock Units · Derivative | 15,016 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-008836 · doc4.xml · derivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,016 Underlying: Voting Common Stock · 15,016 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. F2 · derivative.exercise_date: The RSUs vest in five equal annual installments beginning on February 10, 2021, subject to the reporting person's continuous service to the Company or a related entity on such date. F2 · derivative.expiration_date: The RSUs vest in five equal annual installments beginning on February 10, 2021, subject to the reporting person's continuous service to the Company or a related entity on such date. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 23:03 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantPerformance Restricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-009838 · doc4.xml · derivative · entry 3 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Voting Common Stock · 50,000 shares Expires 2028-08-10 F1 · derivative.exercise_price: See Remarks. F1 · derivative.exercise_date: See Remarks. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 23:03 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | Disposition to issuerPerformance Restricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-009838 · doc4.xml · derivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Voting Common Stock · 50,000 shares Expires 2025-08-10 F1 · derivative.exercise_price: See Remarks. F1 · derivative.exercise_date: See Remarks. Read SEC document |
| August 10, 2018 Filed Aug 14, 2018 21:19 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantPerformance Restricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-046651 · doc4.xml · derivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Voting Common Stock · 50,000 shares Expires 2025-08-10 F1 · derivative.exercise_price: Each performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. A portion of the RSUs will vest if the Company's voting common stock attains various closing prices for at least twenty consecutive trading days at any time prior to August 10, 2025, in accordance with the following: 2.5% of the RSUs will vest upon the attainment of closing stock prices of $35.00 per share, $40.00 per share, $45.00 per share, and $50.00 per share, and 90% of the RSUs will vest upon the attainment of a closing stock price of $55.00 per share. F1 · derivative.exercise_date: Each performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. A portion of the RSUs will vest if the Company's voting common stock attains various closing prices for at least twenty consecutive trading days at any time prior to August 10, 2025, in accordance with the following: 2.5% of the RSUs will vest upon the attainment of closing stock prices of $35.00 per share, $40.00 per share, $45.00 per share, and $50.00 per share, and 90% of the RSUs will vest upon the attainment of a closing stock price of $55.00 per share. Read SEC document |
| May 15, 2018 Filed May 16, 2018 21:05 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | SaleVoting Common Stock | 2,500 | $28.96 | $72,400.00 |
DisclosureSEC source: 0001209191-18-030585 · doc4.xml · nonDerivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,130.978 F2 · price: This transaction was executed in multiple trades ranging from $28.85 to $29.175. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| May 14, 2018 Filed May 16, 2018 21:05 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | SaleVoting Common Stock | 2,500 | $28.74 | $71,850.00 |
DisclosureSEC source: 0001209191-18-030585 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,630.978 F1 · price: This transaction was executed in multiple trades ranging from $28.70 to $28.80. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| May 11, 2018 Filed May 11, 2018 20:58 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | SaleVoting Common Stock | 2,500 | $29.16 | $72,900.00 |
DisclosureSEC source: 0001209191-18-029613 · doc4.xml · nonDerivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,130.978 F2 · price: This transaction was executed in multiple trades ranging from $29.15 to $29.175. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| May 10, 2018 Filed May 11, 2018 20:58 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | SaleVoting Common Stock | 2,500 | $29.04 | $72,600.00 |
DisclosureSEC source: 0001209191-18-029613 · doc4.xml · nonDerivative · entry 1 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,630.978 F1 · price: This transaction was executed in multiple trades ranging from $29.00 to $29.10. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| March 21, 2018 Filed Mar 23, 2018 21:55 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantPerformance Restricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-021509 · doc4.xml · derivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Voting Common Stock · 50,000 shares Expires 2025-03-21 F1 · derivative.exercise_price: Each performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. In order for the RSUs to vest, the Company's voting common stock must attain a closing price equal to or greater than $48.00 per share for at least twenty (20) consecutive trading days at any time prior to March 21, 2025. F1 · derivative.exercise_date: Each performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. In order for the RSUs to vest, the Company's voting common stock must attain a closing price equal to or greater than $48.00 per share for at least twenty (20) consecutive trading days at any time prior to March 21, 2025. Read SEC document |
| January 31, 2017 Filed Feb 2, 2017 22:58 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantPerformance Restricted Stock Units · Derivative | 4,218 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-007249 · doc4.xml · derivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,218 Underlying: Voting Common Stock · 4,218 shares Expires 2024-01-31 F1 · derivative.exercise_price: Each performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. The vesting of the performance RSUs under this award is subject to the Company achieving total revenue of at least $100 million for the period from January 1, 2017 through December 31, 2017. In addition, in order for the RSUs to vest, the Company's voting common stock must attain a closing price equal to or greater than $38.00 per share for at least twenty (20) consecutive trading days at any time prior to January 31, 2024. F1 · derivative.exercise_date: Each performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. The vesting of the performance RSUs under this award is subject to the Company achieving total revenue of at least $100 million for the period from January 1, 2017 through December 31, 2017. In addition, in order for the RSUs to vest, the Company's voting common stock must attain a closing price equal to or greater than $38.00 per share for at least twenty (20) consecutive trading days at any time prior to January 31, 2024. Read SEC document |
| November 30, 2016 Filed Dec 2, 2016 22:41 UTC | Live Oak Bancshares, Inc. LOB · Entity 2023 | GrantPerformance Restricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-153129 · doc4.xml · derivative · entry 2 Smits Steve · CIK 0001648958 · Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Voting Common Stock · 100,000 shares Expires 2023-11-30 F1 · derivative.exercise_price: Each performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. The vesting of the performance RSUs under this award is subject to the Company achieving total revenue of at least $100 million for the period from October 1, 2016 through September 30, 2017. In addition, in order for the RSUs to vest, the Company's voting common stock must attain a closing price equal to or greater than $34.00 per share for at least twenty (20) consecutive trading days at any time prior to November 30, 2023. F1 · derivative.exercise_date: Each performance restricted stock unit ("RSU") represents a contingent right to receive one share of Live Oak Bancshares, Inc. (the "Company") voting common stock. The vesting of the performance RSUs under this award is subject to the Company achieving total revenue of at least $100 million for the period from October 1, 2016 through September 30, 2017. In addition, in order for the RSUs to vest, the Company's voting common stock must attain a closing price equal to or greater than $34.00 per share for at least twenty (20) consecutive trading days at any time prior to November 30, 2023. 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.