Filing Details

Accession Number:
0001104659-21-149313
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-12-13 21:53:06
Reporting Period:
2021-12-09
Accepted Time:
2021-12-13 21:53:06
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1504776 Warby Parker Inc. WRBY Ophthalmic Goods (3851) 800423634
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1883345 Harris Neil Blumenthal C/O Warby Parker Inc.,
233 Spring Street, 6Th Floor East
New York NY 10013
Co-Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2021-12-09 80,000 $0.00 80,047 No 4 C Direct
Class A Common Stock Disposition 2021-12-09 80,000 $47.11 47 No 4 S Direct
Class A Common Stock Acquisiton 2021-12-10 40,376 $0.00 40,423 No 4 C Direct
Class A Common Stock Disposition 2021-12-10 40,376 $47.05 47 No 4 S Direct
Class A Common Stock Acquisiton 2021-12-10 4,841 $0.00 4,888 No 4 C Direct
Class A Common Stock Disposition 2021-12-10 4,841 $46.46 47 No 4 S Direct
Class A Common Stock Acquisiton 2021-12-13 172,124 $0.00 172,171 No 4 C Direct
Class A Common Stock Disposition 2021-12-13 172,124 $46.00 47 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 S Direct
No 4 C Direct
No 4 S Direct
No 4 C Direct
No 4 S Direct
No 4 C Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class B Common Stock Stock Option (Right to Buy) Disposition 2021-12-09 130,000 $0.00 130,000 $0.72
Class A Common Stock Class B Common Stock Acquisiton 2021-12-09 130,000 $0.00 130,000 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-12-09 80,000 $0.00 80,000 $0.00
Class B Common Stock Stock Option (Right to Buy) Disposition 2021-12-10 62,500 $0.00 62,500 $0.72
Class A Common Stock Class B Common Stock Acquisiton 2021-12-10 62,500 $0.00 62,500 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-12-10 40,376 $0.00 40,376 $0.00
Class B Common Stock Restricted Stock Units Disposition 2021-12-10 2,405 $0.00 2,405 $0.00
Class B Common Stock Restricted Stock Units Disposition 2021-12-10 2,888 $0.00 2,888 $0.00
Class B Common Stock Restricted Stock Units Disposition 2021-12-10 3,030 $0.00 3,030 $0.00
Class A Common Stock Class B Common Stock Acquisiton 2021-12-10 8,323 $0.00 8,323 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-12-10 4,841 $0.00 4,841 $0.00
Class B Common Stock Stock Option (Right to Buy) Disposition 2021-12-13 307,500 $0.00 307,500 $0.72
Class A Common Stock Class B Common Stock Acquisiton 2021-12-13 307,500 $0.00 307,500 $0.00
Class A Common Stock Class B Common Stock Disposition 2021-12-13 172,174 $0.00 172,124 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
576,390 No 4 M Direct
2,940,407 No 4 M Direct
2,860,407 No 4 C Direct
513,890 No 4 M Direct
2,922,907 No 4 M Direct
2,882,531 No 4 C Direct
16,836 No 4 M Direct
39,531 No 4 M Direct
54,723 No 4 M Direct
2,890,854 No 4 M Direct
2,886,013 No 4 C Direct
206,390 No 4 M Direct
3,193,513 No 4 M Direct
3,021,389 No 4 C Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 200,000 Indirect By Royal Blue Aries Trust
Class A Common Stock 200,000 Indirect By Tiffany Blue Gemini Trust
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class B Common Stock Restricted Stock Units $0.00 0 940,752 Direct
Class A Common Stock Class B Common Stock $0.00 200,000 200,000 Indirect
Class A Common Stock Class B Common Stock $0.00 200,000 200,000 Indirect
Class A Common Stock Class B Common Stock $0.00 1,519,661 1,519,661 Indirect
Class A Common Stock Class B Common Stock $0.00 399,402 399,402 Indirect
Class A Common Stock Class B Common Stock $0.00 800,000 800,000 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
0 940,752 Direct
200,000 200,000 Indirect
200,000 200,000 Indirect
1,519,661 1,519,661 Indirect
399,402 399,402 Indirect
800,000 800,000 Indirect
Footnotes
  1. 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.
  2. 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.
  3. 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.
  4. The Stock option was granted on July 27, 2012, is fully vested, and will expire on July 26, 2022.
  5. 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,
  6. 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.
  7. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.
  8. This filing relates to the occurrence of a RSU vesting event.
  9. The restricted stock units will vest in 48 monthly installments beginning on January 1, 2019 and will expire on May 1, 2026.
  10. The restricted stock units will vest in 48 monthly installments beginning on January 1, 2020 and will expire on November 19, 2026.
  11. The restricted stock units will vest in 48 monthly installments beginning on January 1, 2021 and will expire on January 27, 2028.
  12. The restricted stock units will vest in 60 monthly installments beginning on July 1, 2021, will expire on June 15, 2031.