0001104659-21-149313.txt : 20211213
0001104659-21-149313.hdr.sgml : 20211213
20211213215306
ACCESSION NUMBER: 0001104659-21-149313
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211209
FILED AS OF DATE: 20211213
DATE AS OF CHANGE: 20211213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Blumenthal Neil Harris
CENTRAL INDEX KEY: 0001883345
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40825
FILM NUMBER: 211489536
MAIL ADDRESS:
STREET 1: C/O WARBY PARKER INC.
STREET 2: 233 SPRING STREET, 6TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10013
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Warby Parker Inc.
CENTRAL INDEX KEY: 0001504776
STANDARD INDUSTRIAL CLASSIFICATION: OPHTHALMIC GOODS [3851]
IRS NUMBER: 800423634
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 233 SPRING STREET
STREET 2: 6TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10013
BUSINESS PHONE: (646) 847-7215
MAIL ADDRESS:
STREET 1: 233 SPRING STREET
STREET 2: 6TH FLOOR EAST
CITY: NEW YORK
STATE: NY
ZIP: 10013
FORMER COMPANY:
FORMER CONFORMED NAME: JAND, Inc.
DATE OF NAME CHANGE: 20101102
4
1
tm2135330-5_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2021-12-09
0
0001504776
Warby Parker Inc.
WRBY
0001883345
Blumenthal Neil Harris
C/O WARBY PARKER INC.,
233 SPRING STREET, 6TH FLOOR EAST
NEW YORK
NY
10013
1
1
0
0
Co-Chief Executive Officer
Class A Common Stock
2021-12-09
4
C
0
80000
0
A
80047
D
Class A Common Stock
2021-12-09
4
S
0
80000
47.11
D
47
D
Class A Common Stock
2021-12-10
4
C
0
40376
0
A
40423
D
Class A Common Stock
2021-12-10
4
S
0
40376
47.05
D
47
D
Class A Common Stock
2021-12-10
4
C
0
4841
0
A
4888
D
Class A Common Stock
2021-12-10
4
S
0
4841
46.46
D
47
D
Class A Common Stock
2021-12-13
4
C
0
172124
0
A
172171
D
Class A Common Stock
2021-12-13
4
S
0
172124
46.0001
D
47
D
Class A Common Stock
200000
I
By Royal Blue Aries Trust
Class A Common Stock
200000
I
By Tiffany Blue Gemini Trust
Stock Option (Right to Buy)
0.72
2021-12-09
4
M
0
130000
0
D
Class B Common Stock
130000
576390
D
Class B Common Stock
2021-12-09
4
M
0
130000
0
A
Class A Common Stock
130000
2940407
D
Class B Common Stock
2021-12-09
4
C
0
80000
0
D
Class A Common Stock
80000
2860407
D
Stock Option (Right to Buy)
0.72
2021-12-10
4
M
0
62500
0
D
Class B Common Stock
62500
513890
D
Class B Common Stock
2021-12-10
4
M
0
62500
0
A
Class A Common Stock
62500
2922907
D
Class B Common Stock
2021-12-10
4
C
0
40376
0
D
Class A Common Stock
40376
2882531
D
Restricted Stock Units
2021-12-10
4
M
0
2405
0
D
Class B Common Stock
2405
16836
D
Restricted Stock Units
2021-12-10
4
M
0
2888
0
D
Class B Common Stock
2888
39531
D
Restricted Stock Units
2021-12-10
4
M
0
3030
0
D
Class B Common Stock
3030
54723
D
Class B Common Stock
2021-12-10
4
M
0
8323
0
A
Class A Common Stock
8323
2890854
D
Class B Common Stock
2021-12-10
4
C
0
4841
0
D
Class A Common Stock
4841
2886013
D
Restricted Stock Units
Class B Common Stock
0
940752
D
Stock Option (Right to Buy)
0.72
2021-12-13
4
M
0
307500
0
D
Class B Common Stock
307500
206390
D
Class B Common Stock
2021-12-13
4
M
0
307500
0
A
Class A Common Stock
307500
3193513
D
Class B Common Stock
2021-12-13
4
C
0
172174
0
D
Class A Common Stock
172124
3021389
D
Class B Common Stock
Class A Common Stock
200000
200000
I
By Royal Blue Aires Trust
Class B Common Stock
Class A Common Stock
200000
200000
I
By Tiffany Blue Gemini Trust
Class B Common Stock
Class A Common Stock
1519661
1519661
I
By Neil H. Blumenthal 2011 Family Trust
Class B Common Stock
Class A Common Stock
399402
399402
I
By Teal Aquarius Trust
Class B Common Stock
Class A Common Stock
800000
800000
I
By Cobalt Pisces Trust
Includes 47 shares of Class A Common Stock acquired in a pro rata distribution in-kind, the acquisition of which was exempt from reporting pursuant to Rule 16a-9 of the Securities Exchange Act of 1934, as amended.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.53 The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.50 to $47.00 The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The Stock option was granted on July 27, 2012, is fully vested, and will expire on July 26, 2022.
The Class B Common Stock is convertible at any time at the option of the holder into the Issuer's Class A Common Stock on a one-to-one basis. The Class B Common Stock will automatically convert into shares of the Issuer's Class A Common Stock on a one-to-one basis upon the earlier of (i) transfer of Class B common stock to a person or entity that is not in the transferor's permitted ownership group, (ii) October 1, 2031, (iii) with respect to any Class B common stock held by any person or entity in Neil Blumenthal's permitted ownership group, (A) such time as Neil Blumenthal is removed or resigns from theboard of directors, or otherwise ceases to serve as a director, (B) such time as Neil Blumenthal ceases to be either an employee, officer or consultant of the Company or any of its subsidiaries, or (C) the date that is 12 months after the death or disability of Neil Blumenthal,
and (iv) with respect to any Class B common stock held by any person or entity in Dave Gilboa's permitted ownership group, (A) such time as Dave Gilboa is removed or resigns from the board of directors, orotherwise ceases to serve as a director, (B) such time as Dave Gilboa ceases to be either an employee, officer or consultant of the Company or any of its subsidiaries, or (C) the date that is 12 months after the death or disability of Dave Gilboa.
Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.
This filing relates to the occurrence of a RSU vesting event.
The restricted stock units will vest in 48 monthly installments beginning on January 1, 2019 and will expire on May 1, 2026.
The restricted stock units will vest in 48 monthly installments beginning on January 1, 2020 and will expire on November 19, 2026.
The restricted stock units will vest in 48 monthly installments beginning on January 1, 2021 and will expire on January 27, 2028.
The restricted stock units will vest in 60 monthly installments beginning on July 1, 2021, will expire on June 15, 2031.
/s/ Hyung Bak, Attorney-in-Fact
2021-12-13