Momen Ronnie's Form 4 filing
Happen, Inc. (HAPN) · filed May 27, 2022
- Accession no.
- 0001127602-22-015914
- Filed
- May 27, 2022
- Trade date
- May 25-27, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions and 6 derivative transactions. Open-market sales total $424.0K. It was filed 2 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 |
|---|---|---|---|---|---|---|---|---|
| May 25, 2022 | Common Stock | MOption exerciseAcquired | +11,393 | $0.00F1 | $0 | 131,551 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseAcquired | +5,990 | $0.00F1 | $0 | 137,541 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseAcquired | +6,717 | $0.00F1 | $0 | 144,258 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseAcquired | +19,231 | $0.00F1 | $0 | 163,489 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseAcquired | +9,754 | $0.00F1 | $0 | 173,243 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseAcquired | +10,270 | $0.00F1 | $0 | 183,513 | Direct | |
| May 26, 2022 | Common Stock | SSaleDisposed | −30,134 | $14.07F3 | −$423,985.38 | 153,379 | Direct | |
| May 27, 2022 | Common Stock | GGiftDisposed | −5,454 | $0.00 | $0 | 147,925 | 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 |
|---|---|---|---|---|---|---|---|---|
| May 25, 2022 | Common Stock | MOption exerciseDisposed | −11,393 | $0.00 | $0 | 11,394 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseDisposed | −5,990 | $0.00 | $0 | 17,972 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseDisposed | −6,717 | $0.00 | $0 | 47,026 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseDisposed | −19,231 | $0.00 | $0 | 57,693 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseDisposed | −9,754 | $0.00 | $0 | 68,284 | Direct | |
| May 25, 2022 | Common Stock | MOption exerciseDisposed | −10,270 | $0.00 | $0 | 112,970 | 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 6 transactions in Table I.
- F3
This transaction was executed in multiple trades during the day at prices ranging from $13.91 to $14.25. 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.