Armstrong Annie's Form 4 filing
Happen, Inc. (HAPN) · filed Aug 29, 2022
- Accession no.
- 0001127602-22-021734
- Filed
- Aug 29, 2022
- Trade date
- Aug 25-26, 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 $513.5K. 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 |
|---|---|
| Armstrong AnnieCIK 0001816970 | Officer (Chief Risk Officer) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +23,777 | $0.00F1 | $0 | 125,378 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +36,058 | $0.00F1 | $0 | 161,436 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +5,487 | $0.00F1 | $0 | 166,923 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +4,279 | $0.00F1 | $0 | 171,202 | Direct | |
| Aug 26, 2022 | Common Stock | SSaleDisposed | −37,046 | $13.86F3 | −$513,457.56 | 134,156 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −23,777 | $0.00 | $0 | 166,441 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −36,058 | $0.00 | $0 | 72,116 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −5,487 | $0.00 | $0 | 32,923 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −4,279 | $0.00 | $0 | 42,792 | 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 $13.71 to $14.05. 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.