SEC Form 4 · accession 0001127602-15-034478
Happen, Inc. · HAPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lawrence Henry Summers
Director
Period of report
Dec 15, 2015
Accepted (ET)
Dec 17, 2015 · 4:33 pm EST
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 StockF1,F2 | Dec 15, 2015 | S | 23,421 | $12.6159 | D | 388,093 | D | |
| Common StockF3 | holding | — | — | — | 164,381 | I | By LHS 2014 Qualified Annuity Trust #3L | |
| Common StockF4 | holding | — | — | — | 65,275 | I | By LHS 2015 Qualified Annuity Trust #1L | |
| Common Stock | holding | — | — | — | 2,500 | I | By Stepdaughter |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 31, 2015.
- F2This transaction was executed in multiple trades during the day at prices ranging from $12.43 to $12.87. 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.
- F3Shares held of record by Lawrence H. Summers, Trustee of LHS 2014 Qualified Annuity Trust #3L.
- F4Shares held of record by Lawrence H. Summers, Trustee of LHS 2015 Qualified Annuity Trust #1L.