SEC Form 4 · accession 0001127602-19-011389
Happen, Inc. · HAPN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W Casey
Officer — Chief Financial Officer
Period of report
Mar 12, 2019
Accepted (ET)
Mar 14, 2019 · 6:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001409970
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit (RSU)F1,F2,F3 | $0.00 | Mar 12, 2019 | A | 214,090 | A | — | — | Common Stock | 214,090 | 214,090 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.
- F2Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for 2018/2019. The RSUs will vest as to 25% of the total shares on May 25, 2019 with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.
- F3Not applicable.