Momen Ronnie's Form 4 filing
Happen, Inc. (HAPN) · filed Aug 29, 2022
- Accession no.
- 0001127602-22-021735
- Filed
- Aug 29, 2022
- Trade date
- Aug 10-26, 2022
- Filing delay
- 19 daysLate
- 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 $467.4K. It was filed 19 days after the trade, past the 2-business-day deadline.
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 10, 2022 | Common Stock | GGiftDisposed | −10,963 | $0.00 | $0 | 136,962 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +11,394 | $0.00F2 | $0 | 148,356 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +5,990 | $0.00F2 | $0 | 154,346 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +6,718 | $0.00F2 | $0 | 161,064 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +19,231 | $0.00F2 | $0 | 180,295 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +9,755 | $0.00F2 | $0 | 190,050 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +10,270 | $0.00F2 | $0 | 200,320 | Direct | |
| Aug 26, 2022 | Common Stock | SSaleDisposed | −33,726 | $13.86F4 | −$467,442.36 | 166,594 | 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 | −11,394 | $0.00 | $0 | 0 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −5,990 | $0.00 | $0 | 11,982 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −6,718 | $0.00 | $0 | 40,308 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −19,231 | $0.00 | $0 | 38,462 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −9,755 | $0.00 | $0 | 58,529 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −10,270 | $0.00 | $0 | 102,700 | 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.
- F2
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.
- F4
This transaction was executed in multiple trades during the day at prices ranging from $13.72 to $14.04. 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.