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 |
|---|---|---|---|---|---|---|
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,493 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 7 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,655 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 |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,904 | $11.87 | $46,340.48 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 6 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,162 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 |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 7,233 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 5 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,066 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 |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,356 | $11.13 | $15,092.28 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 4 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,833 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 |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 2,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 3 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,189 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 |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,642 | $11.13 | $29,405.46 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 2 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,730 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 |
| February 25, 2020 Filed Feb 27, 2020 20:28 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,735 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008214 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,372 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 |
| February 24, 2020 Filed Feb 26, 2020 19:32 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 1,900 | $12.30 | $23,370.00 |
DisclosureSEC source: 0001127602-20-008031 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,637 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| January 09, 2020 Filed Jan 10, 2020 20:13 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 1,900 | $12.04 | $22,876.00 |
DisclosureSEC source: 0001127602-20-001420 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,537 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| December 11, 2019 Filed Dec 13, 2019 18:43 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 1,900 | $12.92 | $24,548.00 |
DisclosureSEC source: 0001127602-19-034955 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,437 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,493 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · derivative · entry 12 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,407 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 |
| November 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 7,233 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · derivative · entry 11 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,331 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 |
| November 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,459 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · derivative · entry 10 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,214 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 |
| November 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,735 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · derivative · entry 9 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,940 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 |
| November 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,403 | $13.08 | $31,431.24 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · nonDerivative · entry 8 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,337 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 |
| November 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,493 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · nonDerivative · entry 7 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,740 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 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,874 | $13.08 | $50,671.92 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · nonDerivative · entry 6 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,247 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 |
| November 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 7,233 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · nonDerivative · entry 5 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,121 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 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,322 | $13.59 | $17,965.98 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · nonDerivative · entry 4 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,888 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 |
| November 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 2,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · nonDerivative · entry 3 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,210 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 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,549 | $13.59 | $34,640.91 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · nonDerivative · entry 2 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,751 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 |
| November 25, 2019 Filed Nov 27, 2019 18:00 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,735 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033828 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,300 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 11, 2019 Filed Nov 13, 2019 19:22 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 1,900 | $14.54 | $27,626.00 |
DisclosureSEC source: 0001127602-19-032664 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,565 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| October 11, 2019 Filed Oct 11, 2019 19:12 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 1,900 | $11.78 | $22,382.00 |
DisclosureSEC source: 0001127602-19-030428 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,465 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| August 25, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,493 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · derivative · entry 12 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,900 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. F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. F8 · 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. F5 · derivative.expiration_date: Not applicable. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 25, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 7,233 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · derivative · entry 11 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,564 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. F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. F7 · 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. F5 · derivative.expiration_date: Not applicable. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 25, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,459 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · derivative · entry 10 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,673 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. F6 · 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. F5 · derivative.expiration_date: Not applicable. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 25, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 4,735 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · derivative · entry 9 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,675 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. F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. F4 · 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. F5 · derivative.expiration_date: Not applicable. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 25, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,403 | $13.06 | $31,383.18 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · nonDerivative · entry 8 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,365 F3 · 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, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,493 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · nonDerivative · entry 7 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,768 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, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,875 | $13.06 | $50,607.50 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · nonDerivative · entry 6 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,275 F3 · 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, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 7,233 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · nonDerivative · entry 5 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,150 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, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,322 | $13.06 | $17,265.32 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · nonDerivative · entry 4 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,917 F3 · 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, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 2,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · nonDerivative · entry 3 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,239 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, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,551 | $13.06 | $33,316.06 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · nonDerivative · entry 2 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,780 F3 · 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, 2019 Filed Aug 27, 2019 20:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 4,735 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027481 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,331 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. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 18:06 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 9,500 | $2.98 | $28,310.00 |
DisclosureSEC source: 0001127602-19-023759 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,981 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| May 28, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | SaleCommon Stock | 9,500 | $3.10 | $29,450.00 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 9 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,481 F3 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| May 25, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 22,464 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · derivative · entry 13 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 336,961 Underlying: Common Stock · 22,464 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 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. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 36,165 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · derivative · entry 12 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 433,977 Underlying: Common Stock · 36,165 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 August 25, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 12,295 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · derivative · entry 11 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,657 Underlying: Common Stock · 12,295 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 November 25, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 23,674 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · derivative · entry 10 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,046 Underlying: Common Stock · 23,674 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. F4 · 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. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 12,012 | $3.09 | $37,117.08 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 8 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,981 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, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 22,464 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 7 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,993 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, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 19,381 | $3.09 | $59,887.29 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 6 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,529 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, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 36,165 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 5 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,910 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, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 6,615 | $3.09 | $20,440.35 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 4 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,745 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, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,295 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 3 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,360 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, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 12,786 | $3.09 | $39,508.74 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 2 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,065 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, 2019 Filed May 29, 2019 19:23 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 23,674 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020204 · form4.xml · nonDerivative · entry 1 Kay Valerie · CIK 0001740868 · Chief Capital Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,851 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.