SEC Form 4 · accession 0001127602-15-020980
Happen, Inc. · HAPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Mack
Director
Period of report
Jun 15, 2015
Accepted (ET)
Jun 17, 2015 · 9:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001409970
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 15, 2015 | A | 11,717 | $0.00 | A | 726,003 | D | |
| Common StockF2 | holding | — | — | — | 357,143 | I | By Christy Mack, Trustee Of Jjm 2014 Grat Lending Club II U/a 12/8/2014 | |
| Common StockF3 | holding | — | — | — | 357,143 | I | By Christy Mack, Trustee Of Jjm 2014 Grat Lending Club U/a Dated 10/17/14 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a grant of restricted stock units under the LendingClub Corporation 2014 Equity Incentive Plan. Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. The restricted stock units are scheduled to vest 100% on June 10, 2016.
- F2The shares are held of record by Christy Mack, Trustee of JJM 2014 GRAT Lending Club II U/A Dated 12/8/2014. The reporting person's spouse is the trustee of the trust.
- F3The shares are held of record by Christy Mack, Trustee of JJM 2014 GRAT Lending Club U/A Dated 10/17/14. The reporting person's spouse is the trustee of the trust.