Momen Ronnie's Form 4 filing
Happen, Inc. (HAPN) · filed Mar 1, 2022
- Accession no.
- 0001127602-22-007470
- Filed
- Mar 1, 2022
- Trade date
- Feb 25-28, 2022
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 4 derivative transactions. Open-market sales total $321.9K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Momen RonnieCIK 0001747276 | Officer (Bank-Chief of Consumer Banking) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 25, 2022 | Common Stock | MOption exerciseAcquired | +11,393 | $0.00F1 | $0 | 115,021 | Direct | |
| Feb 25, 2022 | Common Stock | MOption exerciseAcquired | +5,991 | $0.00F1 | $0 | 121,012 | Direct | |
| Feb 25, 2022 | Common Stock | MOption exerciseAcquired | +6,718 | $0.00F1 | $0 | 127,730 | Direct | |
| Feb 25, 2022 | Common Stock | MOption exerciseAcquired | +9,755 | $0.00F1 | $0 | 137,485 | Direct | |
| Feb 28, 2022 | Common Stock | SSaleDisposed | −17,327 | $18.58F3 | −$321,935.66 | 120,158 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 25, 2022 | Common Stock | MOption exerciseDisposed | −11,393 | $0.00 | $0 | 22,787 | Direct | |
| Feb 25, 2022 | Common Stock | MOption exerciseDisposed | −5,991 | $0.00 | $0 | 23,962 | Direct | |
| Feb 25, 2022 | Common Stock | MOption exerciseDisposed | −6,718 | $0.00 | $0 | 53,743 | Direct | |
| Feb 25, 2022 | Common Stock | MOption exerciseDisposed | −9,755 | $0.00 | $0 | 78,038 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 4 transactions in Table I.
- F3
This transaction was executed in multiple trades during the day at prices ranging from $18.23 to $19.05. 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.
Referenced by the price of 1 transaction in Table I.