SEC Form 4 · accession 0001127602-16-044310
Happen, Inc. · HAPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Renaud Laplanche
Officer — Chief Executive Officer · Director
Period of report
Feb 26, 2016
Accepted (ET)
Mar 1, 2016 · 7:11 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 | holding | — | — | — | 4,525,492 | I | Renaud Laplanche and Natalia Dmitrieva, As Trustees Of The Brant Point Trust U/A Dated 10/29/2014 | |
| Common Stock | holding | — | — | — | 4,000,000 | I | By U.S. Trust Company Of Delaware As Trustee Of Laplanche Dmitrieva Family 2012 Irrevocable Trust |
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)F2 | $8.41 | Feb 26, 2016 | A | 1,759,414 | A | — | Feb 26, 2026 | Common Stock | 1,759,414 | 1,759,414 | D |
Explanation of responses
- F1On December 9, 2015, the reporting person contributed 4,465,492 shares to the Renaud Laplanche and Natalia Dmitrieva, as Trustees of The Brant Point Trust U/A Dated 10/29/2014.
- F2The option vests as to 6.25% of the total shares quarterly over a four-year period, beginning on May 25, 2016, subject to continued service through each vesting date.