SEC Form 4 · accession 0001127602-17-032211
Happen, Inc. · HAPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Sanborn
Officer — CEO
Period of report
Nov 14, 2017
Accepted (ET)
Nov 15, 2017 · 5:09 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 | Nov 14, 2017 | P | 11,000 | $4.1684 | A | 1,034,734 | D | |
| Common Stock | Nov 14, 2017 | M | 73,700 | $0.1025 | A | 1,108,434 | D |
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 | $0.1025 | Nov 14, 2017 | M | 73,700 | D | — | May 28, 2020 | Common Stock | 73,700 | 1,194,360 | D |
Explanation of responses
- F1This transaction was executed in multiple trades during the day at prices ranging from $4.16 to $4.17. 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.
- F2The option is fully vested and exercisable.