Momen Ronnie's Form 4 filing
Happen, Inc. (HAPN) · filed Nov 29, 2022
- Accession no.
- 0001127602-22-026514
- Filed
- Nov 29, 2022
- Trade date
- Nov 10-28, 2022
- Filing delay
- 19 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 $288.4K. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2022 | Common Stock | GGiftDisposed | −9,779 | $0.00 | $0 | 156,815 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +5,991 | $0.00F2 | $0 | 162,806 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +6,718 | $0.00F2 | $0 | 169,524 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +19,231 | $0.00F2 | $0 | 188,755 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +9,755 | $0.00F2 | $0 | 198,510 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseAcquired | +10,270 | $0.00F2 | $0 | 208,780 | Direct | |
| Nov 28, 2022 | Common Stock | SSaleDisposed | −28,607 | $10.08F4 | −$288,358.56 | 180,173 | 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 | −5,991 | $0.00 | $0 | 5,991 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseDisposed | −6,718 | $0.00 | $0 | 33,590 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseDisposed | −19,231 | $0.00 | $0 | 19,231 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseDisposed | −9,755 | $0.00 | $0 | 48,774 | Direct | |
| Nov 25, 2022 | Common Stock | MOption exerciseDisposed | −10,270 | $0.00 | $0 | 92,430 | 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 $10.28. 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.