SEC Filing | Happen, Inc.
SEC FORM 4
SEC Form 4
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| --- | --- | |
| OMB APPROVAL | ||
| --- | --- | |
| OMB Number: | 3235-0287 | |
| Estimated average burden | ||
| hours per response: | 0.5 | |
| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
| 1. Name and Address of Reporting Person* |
| Stack Fergal |
| (Last) | (First) | (Middle) |
| C/O HAPPEN, INC. |
| 88 KEARNY ST., SUITE 600 |
(Street)
| | | | | --- | --- | | SAN FRANCISCO | CA | 94108 |
| | | |
| --- | --- |
| (City) | (State) | (Zip) | | 2. Issuer Name and Ticker or Trading Symbol
Happen, Inc.
[ HAPN ] | 5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| Director | 10% Owner | ||
| Officer (give title below) | Other (specify below) | ||
| SVP, Corporate Controller | |||
| 3. Date of Earliest Transaction (Month/Day/Year) 07/01/2026 |
|||
| 4. If Amendment, Date of Original Filed (Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line) |
| Form filed by One Reporting Person | |
| Form filed by More than One Reporting Person |
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr. 3) |
| :-- |
| Code |
| :-: |
| Common Stock |
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|---|
| 1. Title of Derivative Security (Instr. 3) |
| :-- |
| Code |
| :-: |
| Explanation of Responses: |
| 1. This transaction was effected pursuant to a Rule 10b5-1 trading plan. |
| 2. This transaction was executed in multiple trades during the date at prices ranging from $21.00 to $21.05. 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. |
| /s/ Bhavit Sheth, attorney-in-fact | 07/02/2026 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). |
||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |