Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Happen, Inc.LC · Entity 4526 | Director · Chief Financial Officer | June 02, 2022 | August 30, 2022 |
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.
Happen, Inc.
Report date June 02, 2022 · Filed August 30, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 49,816 |
Ending reported balance
After 2022-08-25 transaction · row 7
7 source rows · reconciled sequenceRow 1 · 2022-06-02 · Gift · Disposed 46,837 · Balance 2,922 F1: Transaction represents the transfer of 46,837 shares by the Reporting Person of Issuer common stock by bona fide gift. Row 2 · 2022-08-25 · Exercise / conversion · Acquired 8,985 · Balance 11,907 F2: 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 · 2022-08-25 · Exercise / conversion · Acquired 12,596 · Balance 24,503 F2: 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 · 2022-08-25 · Exercise / conversion · Acquired 36,058 · Balance 60,561 F2: 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 · 2022-08-25 · Exercise / conversion · Acquired 12,194 · Balance 72,755 F2: 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 · 2022-08-25 · Exercise / conversion · Acquired 8,558 · Balance 81,313 F2: 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 7 · 2022-08-25 · Tax withholding · Disposed 31,497 · Balance 49,816 F3: 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 | 17,972 |
Reported balance
After 2022-08-25 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2022-08-25 · Exercise / conversion · Disposed 8,985 · Balance 17,972 F2: 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: 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: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 75,576 |
Reported balance
After 2022-08-25 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2022-08-25 · Exercise / conversion · Disposed 12,596 · Balance 75,576 F2: 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 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. F5: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 72,116 |
Reported balance
After 2022-08-25 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2022-08-25 · Exercise / conversion · Disposed 36,058 · Balance 72,116 F2: 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 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. F5: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 73,161 |
Reported balance
After 2022-08-25 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2022-08-25 · Exercise / conversion · Disposed 12,194 · Balance 73,161 F2: 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, 2021, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 85,584 |
Reported balance
After 2022-08-25 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2022-08-25 · Exercise / conversion · Disposed 8,558 · Balance 85,584 F2: 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: 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. F5: Not applicable. |
| Common StockSEC Table I · non-derivative | IndirectCasey Family Revocable Trust | 12,750 |
Reported balance
Holding disclosure · report date 2022-06-02 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 12,750 |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction represents the transfer of 46,837 shares by the Reporting Person of Issuer common stock by bona fide gift.
F2: 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: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.
F4: 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: Not applicable.
F6: 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.
F7: 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.
F8: 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.
F9: 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, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,884 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. F2 · 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, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,245 | $38.07 | $199,677.15 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 9 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,691 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 |
| November 25, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,596 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,936 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. F2 · 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, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,103 | $38.07 | $156,201.21 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,340 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 |
| November 25, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 8,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,443 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. F2 · 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, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,397 | $38.07 | $53,183.79 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,458 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 |
| November 25, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 3,059 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,855 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. F2 · 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, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,320 | $38.07 | $202,532.40 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,796 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 |
| November 25, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,116 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. F2 · 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 |
| September 07, 2021 Filed Nov 30, 2021 01:33 UTC | Happen, Inc. LC · Entity 4526 | GiftCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-029813 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,922 F1 · shares: Transaction represents the transfer of 40,000 shares, initiated on September 3, 2021, by the Reporting Person of Issuer common stock by bona fide gift. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 12,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · derivative · entry 17 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,935 Underlying: Common Stock · 12,194 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. F2 · 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 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. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 12,596 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · derivative · entry 16 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,960 Underlying: Common Stock · 12,596 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. F2 · 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, 2020, 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 |
| August 25, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 8,986 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · derivative · entry 15 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,914 Underlying: Common Stock · 8,986 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. F2 · 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. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 3,058 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · derivative · entry 14 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,059 Underlying: Common Stock · 3,058 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. F2 · 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 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. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · derivative · entry 13 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,389 Underlying: Common Stock · 11,194 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. F2 · 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 6.25% of the total shares on May 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 |
| August 25, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,799 | $29.08 | $139,554.92 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 11 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,922 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, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,721 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. F2 · 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, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,294 | $29.08 | $153,949.52 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 9 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,527 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, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,596 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,821 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. F2 · 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, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,160 | $29.08 | $120,972.80 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,225 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, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 8,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,385 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. F2 · 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, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,416 | $29.08 | $41,177.28 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,399 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, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 3,058 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,815 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. F2 · 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, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,385 | $29.08 | $156,595.80 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,757 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, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,142 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. F2 · 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 |
| June 03, 2021 Filed Aug 27, 2021 23:02 UTC | Happen, Inc. LC · Entity 4526 | GiftCommon Stock | 190,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-024467 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Director · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,948 F1 · shares: Transaction represents the transfer of 190,000 shares by the Reporting Person of Issuer common stock by bona fide gift. Read SEC document |
| May 25, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 12,193 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · derivative · entry 16 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,129 Underlying: Common Stock · 12,193 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 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 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 12,596 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · derivative · entry 15 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,556 Underlying: Common Stock · 12,596 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, 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 8,985 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · derivative · entry 14 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,900 Underlying: Common Stock · 8,985 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 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 3,057 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · derivative · entry 13 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,117 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. F5 · 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · derivative · entry 12 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,583 Underlying: Common Stock · 11,194 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 6.25% of the total shares on May 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,798 | $13.90 | $66,692.20 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,948 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 9 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,746 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,362 | $13.90 | $74,531.80 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,553 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,596 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,915 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,230 | $13.90 | $58,797.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,319 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 8,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,549 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,440 | $13.90 | $20,016.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,564 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 3,057 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,004 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,461 | $13.90 | $75,907.90 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,947 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, 2021 Filed May 27, 2021 22:56 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-018248 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,408 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 |
| March 09, 2021 Filed Mar 12, 2021 00:01 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 146,322 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-010297 · form4.xml · derivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,322 Underlying: Common Stock · 146,322 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 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. Read SEC document |
| February 25, 2021 Filed Mar 2, 2021 01:48 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 12,596 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · derivative · entry 13 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,152 Underlying: Common Stock · 12,596 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, 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 |
| February 25, 2021 Filed Mar 2, 2021 01:48 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 3,058 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · derivative · entry 12 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,174 Underlying: Common Stock · 3,058 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 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 |
| February 25, 2021 Filed Mar 2, 2021 01:48 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 8,986 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · derivative · entry 11 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,885 Underlying: Common Stock · 8,986 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 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, 2021 Filed Mar 2, 2021 01:48 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · derivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,777 Underlying: Common Stock · 11,194 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 6.25% of the total shares on May 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, 2021 Filed Mar 2, 2021 01:48 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,461 | $11.99 | $65,477.39 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,214 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, 2021 Filed Mar 2, 2021 01:48 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,596 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,675 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, 2021 Filed Mar 2, 2021 01:48 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,469 | $11.99 | $17,613.31 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,079 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 |
| February 25, 2021 Filed Mar 2, 2021 01:48 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 3,058 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,548 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.