SEC Form 4 · accession 0001127602-16-051545
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
May 6, 2016
Accepted (ET)
May 9, 2016 · 5:46 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 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 StockF2 | 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)F3,F4 | $0.1025 | holding | — | — | — | — | Aug 6, 2016 | Common Stock | 5,280,000 | 5,280,000 | D |
| Stock Option (right to buy)F3,F4 | $0.695 | holding | — | — | — | — | Aug 6, 2016 | Common Stock | 1,750,000 | 1,750,000 | D |
| Stock Option (right to buy)F3,F4 | $4.99 | holding | — | — | — | — | Aug 6, 2016 | Common Stock | 675,468 | 675,468 | D |
| Stock Option (right to buy)F3,F5 | $9.56 | holding | — | — | — | — | Aug 4, 2016 | Common Stock | 77,664 | 77,664 | D |
Explanation of responses
- F1Shares held of record by Renaud Laplanche and Natalia Dmitrieva, As Trustees Of The Brant Point Trust U/A Dated 10/29/2014. The reporting person has investment control over the shares held by the trust.
- F2Shares held of record by U.S. Trust Company of Delaware, as Trustee of Laplanche Dmitrieva Family 2012 Irrevocable Trust U/A DTD December 17, 2012.
- F3The option is fully vested.
- F4In connection with the reporting person's resignation from the Company, the award is due to expire on August 6, 2016
- F5In connection with the reporting person's resignation from the Company, the award is due to expire on August 4, 2016
Remarks
The reporting person resigned from the Company on May 6, 2016, and this Form 4 serves as his exit filing