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 |
|---|---|---|---|---|---|---|
| May 25, 2020 Filed May 28, 2020 00:45 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 5,352 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,736 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 | 5,894 | $5.26 | $31,002.44 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,384 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 | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,278 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 | 1,455 | $5.26 | $7,653.30 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,084 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 | 2,762 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-018028 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,539 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 12, 2020 Filed Mar 16, 2020 23:31 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 24,462 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-010938 · form4.xml · derivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,462 Underlying: Common Stock · 24,462 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F2 · derivative.exercise_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan as a result of the Issuer's achievement of certain performance criteria for 2019/2020. The RSUs will vest as to 25% of the total shares on May 25, 2020, with an additional 12.5% of the total shares vesting quarterly thereafter, subject to continuous service through each vesting date. F3 · derivative.expiration_date: Not applicable. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 23:12 UTC | Happen, Inc. LC · Entity 4526 | PurchaseCommon Stock | 5,000 | $10.11 | $50,543.50 |
DisclosureSEC source: 0001127602-20-009984 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · Casey Family Revocable Trust Disclosed balance after: 10,000 F1 · price: This transaction was executed in multiple trades during the day at prices ranging from $ 10.0345 to $ 10.18. The weighted-average price is reported above. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. Read SEC document |
| February 26, 2020 Filed Feb 28, 2020 23:35 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 201,536 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008408 · form4.xml · derivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,536 Underlying: Common Stock · 201,536 shares Expires not disclosed F1 · derivative.exercise_date: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F2 · derivative.expiration_date: Represents a grant of RSUs under the Issuer's 2014 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 8,986 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · derivative · entry 13 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,828 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 |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 5,352 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · derivative · entry 12 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,057 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 |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · derivative · entry 11 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,553 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 |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,762 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · derivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,524 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 |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,732 | $11.87 | $56,168.84 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,777 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 8,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,509 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,818 | $11.87 | $33,449.66 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,523 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 5,352 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,341 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,894 | $11.87 | $69,961.78 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,989 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,883 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,455 | $11.13 | $16,194.15 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,689 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:08 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 2,762 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008235 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,144 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 8,985 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · derivative · entry 13 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,814 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 |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 5,353 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · derivative · entry 12 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,409 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. 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 |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · derivative · entry 11 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,747 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 |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,762 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · derivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,286 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 |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,731 | $13.08 | $61,881.48 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,382 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 8,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,113 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,819 | $13.08 | $36,872.52 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,128 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 5,353 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,947 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,894 | $13.08 | $77,093.52 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,594 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,488 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,455 | $13.59 | $19,773.45 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,294 F2 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 22:57 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 2,762 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033826 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,749 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 8,986 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · derivative · entry 13 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,799 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. F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. F8 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5 · derivative.expiration_date: Not applicable. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 5,352 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · derivative · entry 12 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,762 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. F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. F7 · derivative.exercise_date: The RSUs vested as to 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. F5 · derivative.expiration_date: Not applicable. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 11,194 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · derivative · entry 11 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,941 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. F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. F6 · 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. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 2,762 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · derivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,048 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. F2 · shares: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. F4 · derivative.exercise_date: The RSUs vested as to 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. F5 · derivative.expiration_date: Not applicable. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,732 | $13.06 | $61,799.92 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,987 Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 8,986 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,719 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,818 | $13.06 | $36,803.08 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 6 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,733 F3 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 5,352 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 5 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,551 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,894 | $13.06 | $76,975.64 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 4 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,199 F3 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 11,194 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 3 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,093 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 1,455 | $13.06 | $19,002.30 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 2 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,899 F3 · shares: Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:17 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 2,762 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027479 · form4.xml · nonDerivative · entry 1 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,354 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F2 · balance_after: A 1-for-5 reverse stock split of the Issuer's common stock became effective on July 5, 2019 (the "Reverse Stock Split"). This amount has been adjusted to reflect the Reverse Stock Split. Read SEC document |
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 44,928 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · derivative · entry 13 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 673,922 Underlying: Common Stock · 44,928 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F8 · derivative.exercise_date: The RSUs vested as to 6.25% of the total shares on May 25, 2019, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 53,523 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · derivative · entry 12 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,567 Underlying: Common Stock · 53,523 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, 2019, 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 |
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 55,970 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · derivative · entry 11 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 615,673 Underlying: Common Stock · 55,970 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, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,810 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · derivative · entry 10 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,047 Underlying: Common Stock · 13,810 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F4 · derivative.exercise_date: The RSUs vested as to 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. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 23,655 | $3.09 | $73,093.95 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · nonDerivative · entry 8 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 272,961 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 |
| May 25, 2019 Filed May 30, 2019 00:35 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 44,928 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-020212 · form4.xml · nonDerivative · entry 7 CASEY THOMAS W · CIK 0001207691 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,616 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.