0001062993-23-016182.txt : 20230810 0001062993-23-016182.hdr.sgml : 20230810 20230810161601 ACCESSION NUMBER: 0001062993-23-016182 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230809 FILED AS OF DATE: 20230810 DATE AS OF CHANGE: 20230810 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MUSSAFER DAVID M CENTRAL INDEX KEY: 0001197538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40860 FILM NUMBER: 231159695 MAIL ADDRESS: STREET 1: C/O ADVENT INTERNATIONAL CORP STREET 2: 75 STATE ST 29TH FLOOR CITY: BOSTON STATE: MA ZIP: 02104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OLAPLEX HOLDINGS, INC. CENTRAL INDEX KEY: 0001868726 STANDARD INDUSTRIAL CLASSIFICATION: PERFUMES, COSMETICS & OTHER TOILET PREPARATIONS [2844] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1187 COAST VILLAGE ROAD STREET 2: SUITE 1-520 CITY: SANTA BARBARA STATE: CA ZIP: 93108 BUSINESS PHONE: 617-951-9461 MAIL ADDRESS: STREET 1: 1187 COAST VILLAGE ROAD STREET 2: SUITE 1-520 CITY: SANTA BARBARA STATE: CA ZIP: 93108 FORMER COMPANY: FORMER CONFORMED NAME: OLAPEX HOLDINGS, INC. DATE OF NAME CHANGE: 20210622 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2023-08-09 0001868726 OLAPLEX HOLDINGS, INC. OLPX 0001197538 MUSSAFER DAVID M PRUDENTIAL TOWER 800 BOYLSTON STREET, SUITE 3300 BOSTON MA 02199-8069 1 0 0 0 0 Common Stock 2023-08-09 4 A 0 53571 0.00 A 62257 D Common Stock 499468771 I See Notes Represents restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the conditional right to receive one share of Common Stock. The RSUs will vest in full on August 9, 2024, subject to the Reporting Person's continued service to the Issuer through such vesting date. Advent International, L.P. (f/k/a Advent International Corporation, "Advent") manages funds that collectively own 499,468,771 shares of common stock of the Issuer, which are represented as follows: (i) 178,649,759 shares held by Advent International GPE IX Limited Partnership, 36,196,850 shares held by Advent International GPE IX-B Limited Partnership, 14,695,785 shares held by Advent International GPE IX-C Limited Partnership, 15,716,152 shares held by Advent International GPE IX-F Limited Partnership, 50,735,073 shares held by Advent International GPE IX-G Limited Partnership, 58,304,526 shares held by Advent International GPE IX-H Limited Partnership, and 32,399,939 shares held by Advent International GPE IX-I Limited Partnership (collectively, the "Advent IX Cayman Funds"); (ii) 53,588,842 shares held by Advent International GPE IX-A SCSp, 11,181,639 shares held by Advent International GPE IX-D SCSp, 23,162,376 shares held by Advent International GPE IX-E SCSp, and (continued) 1,232,119 shares held by Advent International GPE IX Strategic Investors SCSp (collectively, the "Advent IX Luxembourg Funds"); and (iii) 943,950 shares held by Advent Partners GPE IX Limited Partnership, 1,369,396 shares held by Advent Partners GPE IX-A Limited Partnership, 5,510,717 shares held by Advent Partners GPE IX Cayman Limited Partnership, 571,802 shares held by Advent Partners GPE IX-A Cayman Limited Partnership, and 15,209,846 shares held by Advent Partners GPE IX-B Cayman Limited Partnership (collectively, the "Advent IX Partners Funds"). GPE IX GP Limited Partnership is the general partner of the Advent IX Cayman Funds, GPE IX GP S.a r.l. is the general partner of the Advent IX Luxembourg Funds, and AP GPE IX GP Limited Partnership is the general partner of the Advent IX Partners Funds. Advent International GPE IX, LLC is the general partner of GPE IX GP Limited Partnership and AP GPE IX GP Limited Partnership, and is the sole shareholder of GPE IX GP S.a r.l. Advent is the manager of Advent International GPE IX, LLC and may be deemed to have voting and dispositive power over the shares held by the Advent IX Luxembourg Funds, the Advent IX Cayman Funds and the Advent IX Partners Funds. Advent International GP, LLC is the general partner of Advent. The Reporting Person is the Chairman and Managing Partner of Advent and may have limited partner or other interests in one or more of the entities described herein. The Reporting Person disclaims Section 16 beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or any other purpose. /s/ David Mussafer 2023-08-10