SEC Form 4 · accession 0001127602-15-021661
Happen, Inc. · HAPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chaomei Chen
Officer — Chief Risk Officer
Period of report
Jun 26, 2015
Accepted (ET)
Jun 30, 2015 · 5:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001409970
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 26, 2015 | M | 6,968 | $4.99 | A | 566,592 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $4.99 | Jun 26, 2015 | M | 6,968 | D | — | Feb 24, 2024 | Common Stock | 6,968 | 319,676 | D |
Explanation of responses
- F1The option vests as to 6.25% of the total shares quarterly, beginning on May 24, 2015, subject to continued service through each vesting date.