Pace Brandon's Form 4 filing
Happen, Inc. (HAPN) · filed Nov 29, 2022
- Accession no.
- 0001127602-22-026512
- Filed
- Nov 29, 2022
- Trade date
- Oct 31-Nov 28, 2022
- Filing delay
- 29 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 5 derivative transactions. Open-market sales total $215.1K. It was filed 29 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 |
|---|---|
| Pace BrandonCIK 0001771959 | Officer (Chief Administrative 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 31, 2022 | Common Stock | GGiftDisposed | −6,400 | $0.00 | $0 | 135,648 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +5,691 | $0.00F2 | $0 | 141,339 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +5,878 | $0.00F2 | $0 | 147,217 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +16,827 | $0.00F2 | $0 | 164,044 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +6,097 | $0.00F2 | $0 | 170,141 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +4,279 | $0.00F2 | $0 | 174,420 | Direct | |
| Nov 28, 2022 | Common Stock | SSaleDisposed | −21,342 | $10.08F4 | −$215,127.36 | 153,078 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 25, 2022 | Common Stock | MOption exerciseDisposed | −5,691 | $0.00 | $0 | 5,692 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseDisposed | −5,878 | $0.00 | $0 | 29,391 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseDisposed | −16,827 | $0.00 | $0 | 16,828 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseDisposed | −6,097 | $0.00 | $0 | 30,484 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseDisposed | −4,279 | $0.00 | $0 | 38,513 | 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 5 transactions in Table I.
- F4
This transaction was executed in multiple trades during the day at prices ranging from $9.93 to $10.29. 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.