Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Happen, Inc.HAPN · Entity 4526 | Director · CEO | August 25, 2026 | August 27, 2026 |
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 August 25, 2026 · Filed August 27, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,462,774 |
Ending reported balance
After 2026-08-26 transaction · row 5
5 source rows · reconciled sequenceRow 1 · 2026-08-25 · Exercise / conversion · Acquired 13,151 · Balance 1,491,714 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 2 · 2026-08-25 · Exercise / conversion · Acquired 8,045 · Balance 1,499,759 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 3 · 2026-08-25 · Exercise / conversion · Acquired 6,621 · Balance 1,506,380 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Row 4 · 2026-08-25 · Tax withholding · Disposed 14,856 · Balance 1,491,524 F2: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. Row 5 · 2026-08-26 · Sale · Disposed 28,750 · Balance 1,462,774 F3: This transaction was effected pursuant to a Rule 10b5-1 trading plan (the "Plan") to diversify the assets of the Reporting Person. As disclosed in, and as of the filing date of, the Issuer's Form 10-Q for the period ending March 31, 2026 the maximum number of shares that can be sold under the Plan, inclusive of the reported transaction, represents 9.4% of the Reporting Person's equity interest in the Issuer. F4: This transaction was executed in multiple trades during the date at prices ranging from $18.13 to $18.40. 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. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 26,302 |
Reported balance
After 2026-08-25 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2026-08-25 · Exercise / conversion · Disposed 13,151 · Balance 26,302 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F5: The RSUs vested as to 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F6: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 48,270 |
Reported balance
After 2026-08-25 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2026-08-25 · Exercise / conversion · Disposed 8,045 · Balance 48,270 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F7: The RSUs vested as to 8.33% of the total shares on May 25, 2025, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F6: Not applicable. |
| Restricted Stock Unit (RSU)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 66,209 |
Reported balance
After 2026-08-25 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2026-08-25 · Exercise / conversion · Disposed 6,621 · Balance 66,209 F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. F8: The RSUs vested as to 8.33% of the total shares on May 25, 2026, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F6: Not applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock.
F2: Does not represent a sale of shares. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.
F3: This transaction was effected pursuant to a Rule 10b5-1 trading plan (the "Plan") to diversify the assets of the Reporting Person. As disclosed in, and as of the filing date of, the Issuer's Form 10-Q for the period ending March 31, 2026 the maximum number of shares that can be sold under the Plan, inclusive of the reported transaction, represents 9.4% of the Reporting Person's equity interest in the Issuer.
F4: This transaction was executed in multiple trades during the date at prices ranging from $18.13 to $18.40. 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.
F5: The RSUs vested as to 8.33% of the total shares on May 25, 2024, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F6: Not applicable.
F7: The RSUs vested as to 8.33% of the total shares on May 25, 2025, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date.
F8: The RSUs vested as to 8.33% of the total shares on May 25, 2026, 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 12, 2020 Filed May 14, 2020 22:54 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 17,807 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-016660 · form4.xml · derivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,807 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 vest as to 6.25% of the total shares quarterly, over a four-year period, beginning on May 12, 2016. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| May 12, 2020 Filed May 14, 2020 22:54 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 9,376 | $5.64 | $52,880.64 |
DisclosureSEC source: 0001127602-20-016660 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 680,534 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 12, 2020 Filed May 14, 2020 22:54 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 17,807 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-016660 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 689,910 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| March 12, 2020 Filed Mar 16, 2020 23:49 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 81,519 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-010951 · form4.xml · derivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,519 Underlying: Common Stock · 81,519 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 |
| February 26, 2020 Filed Feb 28, 2020 23:46 UTC | Happen, Inc. LC · Entity 4526 | GrantRestricted Stock Unit (RSU) · Derivative | 215,931 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008418 · form4.xml · derivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 215,931 Underlying: Common Stock · 215,931 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,984 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · derivative · entry 12 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,809 Underlying: Common Stock · 9,984 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,381 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · derivative · entry 11 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,145 Underlying: Common Stock · 13,381 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,328 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · derivative · entry 10 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,628 Underlying: Common Stock · 9,328 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 6,880 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · derivative · entry 9 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,524 Underlying: Common Stock · 6,880 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, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:05 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,257 | $11.87 | $62,400.59 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · nonDerivative · entry 8 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 672,103 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,984 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · nonDerivative · entry 7 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,360 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| February 25, 2020 Filed Feb 28, 2020 02:05 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 7,046 | $11.87 | $83,636.02 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · nonDerivative · entry 6 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 667,376 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,381 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · nonDerivative · entry 5 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 674,422 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,912 | $11.87 | $58,305.44 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · nonDerivative · entry 4 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 661,041 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,328 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · nonDerivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 665,953 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,623 | $11.13 | $40,323.99 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 656,625 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 02:05 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 6,880 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-008227 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 660,248 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 12, 2020 Filed Feb 14, 2020 22:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 17,807 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-005755 · form4.xml · derivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,807 Underlying: Common Stock · 17,807 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 vest as to 6.25% of the total shares quarterly, over a four-year period, beginning on May 12, 2016. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 22:37 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 9,376 | $13.37 | $125,357.12 |
DisclosureSEC source: 0001127602-20-005755 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 653,368 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 12, 2020 Filed Feb 14, 2020 22:37 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 17,807 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-005755 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 662,744 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 |
| January 17, 2020 Filed Jan 18, 2020 02:03 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 140,873 | $0.00 Strike: $0.51 | $0.00 |
DisclosureSEC source: 0001127602-20-001970 · form4.xml · derivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 140,873 shares Expires 2020-05-28 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_date: The option is fully vested and exercisable. Read SEC document |
| January 17, 2020 Filed Jan 18, 2020 02:03 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,817 | $12.72 | $73,992.24 |
DisclosureSEC source: 0001127602-20-001970 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 644,937 Read SEC document |
| January 17, 2020 Filed Jan 18, 2020 02:03 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 140,873 | $0.51 | $72,197.41 |
DisclosureSEC source: 0001127602-20-001970 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650,754 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. Read SEC document |
| January 01, 2020 Filed Jan 3, 2020 23:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 22,844 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-000886 · form4.xml · derivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,844 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 · 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: 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 2017. The RSUs vested as to 50% of the total shares on each vest date January 1, 2019 and January 1, 2020. F5 · derivative.expiration_date: Not applicable. F3 · 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 |
| January 01, 2020 Filed Jan 3, 2020 23:22 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 12,659 | $12.62 | $159,756.58 |
DisclosureSEC source: 0001127602-20-000886 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 509,881 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 |
| January 01, 2020 Filed Jan 3, 2020 23:22 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 22,844 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-000886 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 522,540 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 |
| December 19, 2019 Filed Dec 20, 2019 22:54 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 23,000 | $0.00 Strike: $0.51 | $0.00 |
DisclosureSEC source: 0001127602-19-035686 · form4.xml · derivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,873 Underlying: Common Stock · 23,000 shares Expires 2020-05-28 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_date: The option is fully vested and exercisable. Read SEC document |
| December 19, 2019 Filed Dec 20, 2019 22:54 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 957 | $12.31 | $11,780.67 |
DisclosureSEC source: 0001127602-19-035686 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 499,696 Read SEC document |
| December 19, 2019 Filed Dec 20, 2019 22:54 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 23,000 | $0.51 | $11,787.50 |
DisclosureSEC source: 0001127602-19-035686 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,653 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: The option is fully vested and exercisable. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 23:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,984 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · derivative · entry 12 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,793 Underlying: Common Stock · 9,984 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 23:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,381 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · derivative · entry 11 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,525 Underlying: Common Stock · 13,381 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 23:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,328 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · derivative · entry 10 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,956 Underlying: Common Stock · 9,328 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 23:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 6,881 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · derivative · entry 9 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,404 Underlying: Common Stock · 6,881 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, 2017, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 23:11 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 5,257 | $13.08 | $68,761.56 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · nonDerivative · entry 8 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,653 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 23:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,984 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · nonDerivative · entry 7 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 482,910 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Read SEC document |
| November 25, 2019 Filed Nov 27, 2019 23:11 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 7,046 | $13.08 | $92,161.68 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · nonDerivative · entry 6 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 472,926 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 23:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 13,381 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · nonDerivative · entry 5 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 479,972 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 23:11 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 4,912 | $13.08 | $64,248.96 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · nonDerivative · entry 4 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 466,591 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 23:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 9,328 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · nonDerivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 471,503 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 23:11 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 3,623 | $13.59 | $49,236.57 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 462,175 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 23:11 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 6,881 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-033836 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 465,798 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 12, 2019 Filed Nov 14, 2019 00:26 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 17,806 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-032666 · form4.xml · derivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,614 Underlying: Common Stock · 17,806 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 vest as to 6.25% of the total shares quarterly, over a four-year period, beginning on May 12, 2016. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| November 12, 2019 Filed Nov 14, 2019 00:26 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 9,375 | $14.16 | $132,750.00 |
DisclosureSEC source: 0001127602-19-032666 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 458,917 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 12, 2019 Filed Nov 14, 2019 00:26 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 17,806 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-032666 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 468,292 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 29, 2019 Filed Aug 30, 2019 21:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $0.51 | $0.00 |
DisclosureSEC source: 0001127602-19-027656 · form4.xml · derivative · entry 3 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,873 Underlying: Common Stock · 75,000 shares Expires 2020-05-28 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_date: The option is fully vested and exercisable. Read SEC document |
| August 29, 2019 Filed Aug 30, 2019 21:33 UTC | Happen, Inc. LC · Entity 4526 | Tax withholdingCommon Stock | 2,900 | $13.25 | $38,425.00 |
DisclosureSEC source: 0001127602-19-027656 · form4.xml · nonDerivative · entry 2 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,486 Read SEC document |
| August 29, 2019 Filed Aug 30, 2019 21:33 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionCommon Stock | 75,000 | $0.51 | $38,437.50 |
DisclosureSEC source: 0001127602-19-027656 · form4.xml · nonDerivative · entry 1 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 453,386 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: The option is fully vested and exercisable. Read SEC document |
| August 25, 2019 Filed Aug 28, 2019 00:46 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,984 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027491 · form4.xml · derivative · entry 12 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,777 Underlying: Common Stock · 9,984 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 · 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. F3 · 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 00:46 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 13,380 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027491 · form4.xml · derivative · entry 11 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,906 Underlying: Common Stock · 13,380 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 · 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. F3 · 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 00:46 UTC | Happen, Inc. LC · Entity 4526 | Exercise / conversionRestricted Stock Unit (RSU) · Derivative | 9,329 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-027491 · form4.xml · derivative · entry 10 Sanborn Scott · CIK 0001397362 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,284 Underlying: Common Stock · 9,329 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 · 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. F3 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.