Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Happen, Inc.
Report date February 25, 2023 · Filed February 28, 2023
Section 16 reporting ended · disclosed 2023-02-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 189,131 |
Ending reported balance
After 2023-02-25 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2023-02-25 · Exercise / conversion · Acquired 4,493 · Balance 176,990 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 2 · 2023-02-25 · Exercise / conversion · Acquired 6,298 · Balance 183,288 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 3 · 2023-02-25 · Exercise / conversion · Acquired 18,030 · Balance 201,318 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 4 · 2023-02-25 · Exercise / conversion · Acquired 5,487 · Balance 206,805 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 5 · 2023-02-25 · Exercise / conversion · Acquired 4,279 · Balance 211,084 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 6 · 2023-02-25 · Tax withholding · Disposed 21,953 · Balance 189,131 F2: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2023-02-25 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-02-25 · Exercise / conversion · Disposed 4,493 · Balance 0 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F3: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 25,192 |
Reported balance
After 2023-02-25 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2023-02-25 · Exercise / conversion · Disposed 6,298 · Balance 25,192 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2023-02-25 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2023-02-25 · Exercise / conversion · Disposed 18,030 · Balance 0 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F6: The RSUs vested as to 25% of the total shares on May 25, 2022, with an additional 25% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 21,949 |
Reported balance
After 2023-02-25 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2023-02-25 · Exercise / conversion · Disposed 5,487 · Balance 21,949 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F7: The RSUs vested as to 8.33% of the total shares on May 25, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 34,234 |
Reported balance
After 2023-02-25 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2023-02-25 · Exercise / conversion · Disposed 4,279 · Balance 34,234 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F8: The RSUs vested as to 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4: Not applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.
F2: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.
F3: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F4: Not applicable.
F5: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F6: The RSUs vested as to 25% of the total shares on May 25, 2022, with an additional 25% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date.
F7: The RSUs vested as to 8.33% of the total shares on May 25, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F8: The RSUs vested as to 8.33% of the total shares on May 25, 2022, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 25, 2020 Filed Nov 30, 2020 18:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,736 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030127 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,110 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| November 20, 2020 Filed Nov 24, 2020 19:33 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 4,815 | $6.23 | $30,005.64 |
DisclosureSEC source: 0001127602-20-029977 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,374 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $6.21 to $6.29. 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. Read SEC document |
| October 21, 2020 Filed Oct 23, 2020 19:06 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 6,185 | $4.85 | $30,002.82 |
DisclosureSEC source: 0001127602-20-027471 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,189 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $4.83 to $4.89. 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. Read SEC document |
| September 28, 2020 Filed Sep 30, 2020 19:22 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 6,439 | $4.66 | $30,000.59 |
DisclosureSEC source: 0001127602-20-025933 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,374 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades during the day at prices ranging from $4.645 to $4.69. 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. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 6,298 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · derivative · entry 18 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,172 Underlying: Common Stock · 6,298 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F9 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 1,530 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · derivative · entry 17 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,647 Underlying: Common Stock · 1,530 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F8 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,492 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · derivative · entry 16 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,929 Underlying: Common Stock · 4,492 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F7 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 7,233 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · derivative · entry 15 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,632 Underlying: Common Stock · 7,233 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F6 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on August 25, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,459 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · derivative · entry 14 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,837 Underlying: Common Stock · 2,459 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on November 25, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,735 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · derivative · entry 13 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,736 Underlying: Common Stock · 4,735 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on November 25, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,369 | $5.62 | $18,933.78 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 12 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,813 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 6,298 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 11 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,182 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 820 | $5.62 | $4,608.40 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 10 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,884 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 1,530 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 9 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,704 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,405 | $5.62 | $13,516.10 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 8 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,174 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,492 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 7 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,579 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,888 | $5.62 | $21,850.56 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 6 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,087 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 7,233 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 5 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,975 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,341 | $5.53 | $7,415.73 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 4 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,742 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 2,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 3 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,083 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,605 | $5.53 | $14,405.65 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 2 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,624 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 27, 2020 20:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,735 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024350 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,229 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 6,298 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · derivative · entry 18 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,470 Underlying: Common Stock · 6,298 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F9 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 3,057 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · derivative · entry 17 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,177 Underlying: Common Stock · 3,057 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F8 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,493 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · derivative · entry 16 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,421 Underlying: Common Stock · 4,493 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F7 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 7,233 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · derivative · entry 15 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,865 Underlying: Common Stock · 7,233 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F6 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on August 25, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,459 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · derivative · entry 14 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,296 Underlying: Common Stock · 2,459 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on November 25, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,734 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · derivative · entry 13 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,471 Underlying: Common Stock · 4,734 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on November 25, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,379 | $5.26 | $17,773.54 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 12 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,494 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 6,298 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 11 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,873 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,642 | $5.26 | $8,636.92 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 10 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,575 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 3,057 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 9 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,217 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,412 | $5.26 | $12,687.12 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 8 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,160 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,493 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 7 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,572 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,904 | $5.26 | $20,535.04 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 6 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,079 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 7,233 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 5 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,983 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,354 | $5.26 | $7,122.04 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 4 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,750 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 2,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 3 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,104 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,635 | $5.26 | $13,860.10 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 2 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,645 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2020 Filed May 27, 2020 20:39 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018023 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,280 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 11, 2020 Filed May 13, 2020 18:10 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 1,900 | $5.85 | $11,115.00 |
DisclosureSEC source: 0001127602-20-016475 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,546 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| April 09, 2020 Filed Apr 13, 2020 16:24 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 1,900 | $8.14 | $15,466.00 |
DisclosureSEC source: 0001127602-20-013632 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,446 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 19:34 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 12,234 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-010942 · form4.xml · derivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,234 Underlying: Common Stock · 12,234 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F2 · derivative.exercise_date: Represents 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 2019/2020. The RSUs will vest as to 25% of the total shares on May 25, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F3 · derivative.expiration_date: Not applicable. Read SEC document |
| March 11, 2020 Filed Mar 13, 2020 19:35 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 1,900 | $9.94 | $18,886.00 |
DisclosureSEC source: 0001127602-20-010672 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,346 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| February 26, 2020 Filed Feb 28, 2020 18:37 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 100,768 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008410 · form4.xml · derivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,768 Underlying: Common Stock · 100,768 shares Expires not disclosed F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,493 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · derivative · entry 12 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,914 Underlying: Common Stock · 4,493 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F7 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 7,233 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · derivative · entry 11 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,098 Underlying: Common Stock · 7,233 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F6 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on August 25, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,459 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · derivative · entry 10 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,755 Underlying: Common Stock · 2,459 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on November 25, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,735 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · derivative · entry 9 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,205 Underlying: Common Stock · 4,735 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F3 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on November 25, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,409 | $11.87 | $28,594.83 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 8 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,246 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.