Kay Valerie's Form 4 filing
Happen, Inc. (HAPN) · filed Aug 29, 2022
- Accession no.
- 0001127602-22-021737
- 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 6 non-derivative transactions and 5 derivative transactions. Open-market sales total $300.2K. 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 |
|---|---|
| Kay ValerieCIK 0001740868 | Officer (Bank-Chief Capital 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 | +4,493 | $0.00F1 | $0 | 143,872 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +6,298 | $0.00F1 | $0 | 150,170 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +18,029 | $0.00F1 | $0 | 168,199 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +5,487 | $0.00F1 | $0 | 173,686 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseAcquired | +4,279 | $0.00F1 | $0 | 177,965 | Direct | |
| Aug 26, 2022 | Common Stock | SSaleDisposed | −21,662 | $13.86F3 | −$300,235.32 | 156,303 | 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 | −4,493 | $0.00 | $0 | 8,986 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −6,298 | $0.00 | $0 | 37,788 | Direct | |
| Aug 25, 2022 | Common Stock | MOption exerciseDisposed | −18,029 | $0.00 | $0 | 36,059 | 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 5 transactions in Table I.
- F3
This transaction was executed in multiple trades during the day at prices ranging from $13.72 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.