Form 4 for HAPN Happen, Inc.
Accepted 2023-11-28 00:00:00 ET · period of report 2023-11-25 · accession 0001127602-23-028372 · 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 | 2023-11-28 | 2023-11-25 | HAPN | Sanborn Scott | CEO, Dir | M - OptEx | $0.00 | +48.5K | 1.39M | +4% | $0 |
| D | 2023-11-28 | 2023-11-25 | HAPN | Sanborn Scott | CEO, Dir | F - Tax | $5.61 | -18.4K | 1.38M | -1% | -$103.3K |
| D | 2023-11-28 | 2023-11-25 | HAPN | Sanborn Scott | CEO, Dir | D - Sale to Iss | $5.61 | -13.5K | 1.40M | -1.0% | -$75.7K |
| DM | 2023-11-28 | 2023-11-25 | HAPN | Sanborn Scott | CEO, Dir | M - OptEx | $0.00 | -48.5K | 11.8K | -80% | $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 | 2023-11-25 | M | A | 13,496 | $0.00 | 1,374,199 | 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. |
| 2 | Common | Common Stock | 2023-11-25 | M | A | 11,758 | $0.00 | 1,385,957 | 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. |
| 3 | Common | Common Stock | 2023-11-25 | F | D | 18,405 | $5.61 | 1,377,252 | D | — | — | (F3) 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. |
| 4 | Common | Common Stock | 2023-11-25 | M | A | 14,944 | $0.00 | 1,409,153 | 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. |
| 5 | Common | Common Stock | 2023-11-25 | D | D | 13,496 | $5.61 | 1,395,657 | D | — | — | (F2) Does not represent a sale of shares. Represents the settlement of RSUs granted on February 26, 2020, in cash rather than in shares of the Issuer's common stock. |
| 6 | Common | Common Stock | 2023-11-25 | M | A | 8,252 | $0.00 | 1,394,209 | 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. |
| 7 | Derivative | Restricted Stock Unit (RSU) | 2023-11-25 | M | D | 14,944 | $0.00 | 134,499 | D | $0.00 · — to — | 14,944 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 8.33% of the total shares on May 25, 2023, with an additional 8.33% of the total shares vesting quarterly thereafter, subject to continued service through each vesting date. (F5) Not applicable. |
| 8 | Derivative | Restricted Stock Unit (RSU) | 2023-11-25 | M | D | 8,252 | $0.00 | 41,264 | D | $0.00 · — to — | 8,252 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 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. |
| 9 | Derivative | Restricted Stock Unit (RSU) | 2023-11-25 | M | D | 13,496 | $0.00 | 13,496 | 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. (F4) 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. |
| 10 | Derivative | Restricted Stock Unit (RSU) | 2023-11-25 | M | D | 11,758 | $0.00 | 11,758 | 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. (F6) 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. |