Form 4 for HAPN Happen, Inc.
Accepted 2021-08-27 00:00:00 ET · period of report 2021-08-25 · accession 0001127602-21-024470 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-27 | 2021-08-25 | HAPN | Sanborn Scott | CEO, Dir | M - OptEx | $0.00 | +54.8K | 824.4K | +7% | $0 |
| DM | 2021-08-27 | 2021-08-25 | HAPN | Sanborn Scott | CEO, Dir | F - Tax | $29.08 | -21.7K | 819.1K | -3% | -$631.8K |
| D | 2021-08-27 | 2021-08-25 | HAPN | Sanborn Scott | CEO, Dir | D - Sale to Iss | $29.00 | -13.5K | 819.1K | -2% | -$391.4K |
| DM | 2021-08-27 | 2021-08-25 | HAPN | Sanborn Scott | CEO, Dir | M - OptEx | $0.00 | -54.8K | 135.0K | -29% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-25 | M | A | 9,329 | $0.00 | 814,481 | D | — | — | (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) The Amount of Securities Beneficially Owned has been reduced by one share to reflect rounding in connection with the Issuer's reverse stock split on July 5, 2019. |
| 2 | Common | Common Stock | 2021-08-25 | F | D | 4,912 | $29.08 | 809,569 | D | — | — | (F3) Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. |
| 3 | Common | Common Stock | 2021-08-25 | M | A | 10,190 | $0.00 | 819,759 | D | — | — | (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. |
| 4 | Common | Common Stock | 2021-08-25 | F | D | 5,366 | $29.08 | 814,393 | D | — | — | (F3) Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. |
| 5 | Common | Common Stock | 2021-08-25 | F | D | 6,191 | $29.08 | 824,687 | D | — | — | (F3) Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. |
| 6 | Common | Common Stock | 2021-08-25 | F | D | 5,257 | $29.08 | 819,120 | D | — | — | (F3) Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs. |
| 7 | Common | Common Stock | 2021-08-25 | M | A | 13,496 | $0.00 | 832,616 | D | — | — | (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. |
| 8 | Common | Common Stock | 2021-08-25 | D | D | 13,496 | $29.00 | 819,120 | D | — | — | (F4) Represents the settlement of RSUs granted on February 26, 2020, in cash rather than in shares of the Issuer's common stock. |
| 9 | Common | Common Stock | 2021-08-25 | M | A | 11,758 | $0.00 | 830,878 | D | — | — | (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. |
| 10 | Common | Common Stock | 2021-08-25 | M | A | 9,984 | $0.00 | 824,377 | D | — | — | (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. |
| 11 | Derivative | Restricted Stock Unit (RSU) | 2021-08-25 | M | D | 11,758 | $0.00 | 117,580 | D | $0.00 · — to — | 11,758 Common Stock | (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. (F10) 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. (F6) Not applicable. |
| 12 | Derivative | Restricted Stock Unit (RSU) | 2021-08-25 | M | D | 9,984 | $0.00 | 59,905 | D | $0.00 · — to — | 9,984 Common Stock | (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 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. (F6) Not applicable. |
| 13 | Derivative | Restricted Stock Unit (RSU) | 2021-08-25 | M | D | 10,190 | $0.00 | 10,190 | D | $0.00 · — to — | 10,190 Common Stock | (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 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. (F6) Not applicable. |
| 14 | Derivative | Restricted Stock Unit (RSU) | 2021-08-25 | M | D | 9,329 | $0.00 | 18,657 | D | $0.00 · — to — | 9,329 Common Stock | (F1) Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. (F5) The RSUs vested as to 6.25% of the total shares on May 25, 2018, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. (F6) Not applicable. |
| 15 | Derivative | Restricted Stock Unit (RSU) | 2021-08-25 | M | D | 13,496 | $0.00 | 134,957 | D | $0.00 · — to — | 13,496 Common Stock | (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. (F9) The RSUs vested as to 6.25% of the total shares on May 25, 2020, with an additional 6.25% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. (F6) Not applicable. |