SEC Form 4 · accession 0001127602-16-042530
Happen, Inc. · HAPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon Williams
Director
Period of report
Feb 17, 2016
Accepted (ET)
Feb 19, 2016 · 6:13 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 | Feb 17, 2016 | P | 64,000 | $8.2838 | A | 192,000 | I | By Camelot Financial Capital Management, LLC |
| Common Stock | holding | — | — | — | 311,669 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades during the date at prices ranging from $8.245 to $8.30. 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
- F2Includes 128,000 shares previously reported as held directly by the reporting person, which are held by Camelot Financial Capital Management, LLC, an entity 100% beneficially owned by the reporting person.