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 |
|---|---|---|---|---|---|---|
| February 25, 2021 Filed Mar 2, 2021 01:48 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,314 | $11.99 | $51,724.86 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,490 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 | 8,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,804 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 | 5,547 | $11.99 | $66,508.53 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,818 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 | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-21-008555 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,365 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 12,596 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · derivative · entry 16 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,748 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. 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. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 3,058 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · derivative · entry 15 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,232 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. F7 · 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 |
| November 25, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 8,986 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · derivative · entry 14 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,871 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. 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 |
| November 25, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 5,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · derivative · entry 13 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,353 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, 2019 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 |
| November 25, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · derivative · entry 12 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,971 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 |
| November 25, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,630 | $7.51 | $42,281.30 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,171 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,596 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 9 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,801 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,507 | $7.51 | $11,317.57 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,205 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 3,058 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,712 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,426 | $7.51 | $33,239.26 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,654 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 8,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,080 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,703 | $7.51 | $20,299.53 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,094 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 5,353 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,797 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,651 | $7.51 | $42,439.01 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,444 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, 2020 Filed Nov 30, 2020 23:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-030125 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,095 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 12,596 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · derivative · entry 19 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,344 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. F9 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 3,058 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · derivative · entry 18 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,290 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. F8 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 8,985 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · derivative · entry 17 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,857 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. F7 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 5,352 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · derivative · entry 16 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,353 Underlying: Common Stock · 5,352 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, 2019 with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · derivative · entry 15 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,165 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. F5 · 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 |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,762 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · derivative · entry 14 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,762 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 November 25, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,970 | $5.62 | $33,551.40 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 12 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,901 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,596 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 11 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,871 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,557 | $5.62 | $8,750.34 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,275 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 3,058 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 9 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,832 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,574 | $5.62 | $25,705.88 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,774 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 8,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,348 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,762 | $5.62 | $15,522.44 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,363 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 5,352 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,125 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,777 | $5.62 | $32,466.74 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,773 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,550 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,436 | $5.53 | $7,941.08 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,356 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2020 Filed Aug 28, 2020 00:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 2,762 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-024349 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,792 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 12,596 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · derivative · entry 19 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,940 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. F9 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 6,114 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · derivative · entry 18 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,348 Underlying: Common Stock · 6,114 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F8 · derivative.exercise_date: The RSUs vested as to 25% of the total shares on May 25, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 8,986 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · derivative · entry 17 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,842 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. F7 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 5,352 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · derivative · entry 16 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,705 Underlying: Common Stock · 5,352 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, 2019 with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · derivative · entry 15 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,359 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. F5 · 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, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,762 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · derivative · entry 14 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,762 Underlying: Common Stock · 2,762 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 November 25, 2016, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 6,632 | $5.26 | $34,884.32 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 12 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,030 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 12,596 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 11 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,662 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,220 | $5.26 | $16,937.20 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,066 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 6,114 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 9 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,286 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,732 | $5.26 | $24,890.32 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,172 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 8,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,904 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,818 | $5.26 | $14,822.68 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,918 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.