Changes in Beneficial Ownership · 4
Happen, Inc.
HAPNNASDAQEQUITYCurrent
Changes in Beneficial Ownership
Structured filing — 4
form4.xml
Filing details
- Report period
- 2026-08-25
- Issuer
- Happen, Inc.
- Issuer CIK
- 0001409970
- Trading symbol
- HAPN
- Rule 10b5-1 indication
- Checked
Reporting owner 1
- Name
- Sanborn Scott
- Reporting owner CIK
- 0001397362
- Relationship
- Director · Officer
- Officer title
- CEO
- Address
- C/O HAPPEN, INC., 88 KEARNY ST., SUITE 600, SAN FRANCISCO, CA, 94108
Non-derivative transactions
| Security | Transaction date | Code | Amount | A / D | Price (USD) | Owned after | Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | 2026-08-25 | M · Form 4 | 13,151 | A | 0[F1] | 1,491,714 | D |
| Common Stock | 2026-08-25 | M · Form 4 | 8,045 | A | 0[F1] | 1,499,759 | D |
| Common Stock | 2026-08-25 | M · Form 4 | 6,621 | A | 0[F1] | 1,506,380 | D |
| Common Stock | 2026-08-25 | F · Form 4 | 14,856[F2] | D | 18.25 | 1,491,524 | D |
| Common Stock | 2026-08-26 | S · Form 4[F3] | 28,750 | D | 18.2508[F4] | 1,462,774 | D |
Table key
- M · Form 4
- Exempt derivative exercise or conversion under Rule 16b-3
- A
- Acquired
- D
- Direct
- F · Form 4
- Securities delivered or withheld for exercise price or tax liability under Rule 16b-3
- S · Form 4
- Sale on the market or privately
Derivative transactions
| Security | Conversion / exercise price (USD) | Transaction date | Code | Amount | A / D | Price (USD) | Exercisable | Expires | Underlying security | Underlying shares | Owned after | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit (RSU) | 0[F1] | 2026-08-25 | M · Form 4 | 13,151 | D | 0 | [F5] | [F6] | Common Stock | 13,151 | 26,302 | D |
| Restricted Stock Unit (RSU) | 0[F1] | 2026-08-25 | M · Form 4 | 8,045 | D | 0 | [F7] | [F6] | Common Stock | 8,045 | 48,270 | D |
| Restricted Stock Unit (RSU) | 0[F1] | 2026-08-25 | M · Form 4 | 6,621 | D | 0 | [F8] | [F6] | Common Stock | 6,621 | 66,209 | D |
Table key
- M · Form 4
- Exempt derivative exercise or conversion under Rule 16b-3
- D
- Direct
Footnotes
- 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.↩ 1↩ 2↩ 3↩ 4↩ 5↩ 6
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
- 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.↩ 1
Signature 1
- Signed
- /s/ Bhavit Sheth, attorney-in-fact
- Date
- 2026-08-27