SEC Form 4 · accession 0001127602-17-010307
Happen, Inc. · HAPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon Williams
Director
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 6:09 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 | Mar 1, 2017 | S | 186,000 | $5.253 | D | 161,053 | D | |
| Common StockF2 | Mar 1, 2017 | S | 64,000 | $5.253 | D | 128,000 | I | By Camelot Financial Capital Management, LLC |
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 $5.22 to $5.29. 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.
- F2This transaction was executed in multiple trades during the date at prices ranging from $5.22 to $5.29. 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.