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Blumenthal Neil Harris – ‘4’ for 3/6/24 re: Warby Parker Inc.

On:  Friday, 3/8/24, at 6:16pm ET   ·   For:  3/6/24   ·   As:  Director and Officer   ·   Accession #:  1104659-24-32542   ·   File #:  1-40825

Previous ‘4’:  ‘4’ on 3/6/24 for 3/4/24   ·   Latest ‘4’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/08/24  Blumenthal Neil Harris            4          Dir.,Off.   1:25K  Warby Parker Inc.                 Toppan Merrill/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Ownership Document -- tm248127-4_4seq1.xml/5.8      HTML     24K


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Ownership Document — tm248127-4_4seq1.xml/5.8
 

The SEC has not released XSLT Stylesheets needed to render this File’s XML Data as a Form.

This is our “Plain Text” rendering:
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0508
Document Type:  4
Period of Report:  3/6/24
Not Subject to Section 16:  0
Issuer:
Issuer CIK:  1504776
Issuer Name:  Warby Parker Inc.
Issuer Trading Symbol:  WRBY
Reporting Owner:
Reporting Owner ID:
Owner CIK:  1883345
Owner Name:  Blumenthal Neil Harris
Reporting Owner Address:
Owner Street 1:  C/O WARBY PARKER INC.,
Owner Street 2:  233 SPRING STREET, 6TH FLOOR EAST
Owner City:  NEW YORK
Owner State:  NY
Owner ZIP Code:  10013
Owner State Description:
Reporting Owner Relationship:
Is Director?  Yes
Is Officer?  Yes
Is Ten Percent Owner?  No
Is Other?  No
Officer Title:  Co-Chief Executive Officer
Other Text:
Aff 10b5 One:  1
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock
Transaction Date:
Value:  3/6/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  C
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  28,311
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  40,488
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock
Transaction Date:
Value:  3/6/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  S
Equity Swap Involved?  No
Footnote ID:  F1
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  28,311
Transaction Price Per Share:
Value:  11.88
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  12,177
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock
Transaction Date:
Value:  3/7/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  C
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  50,000
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  62,177
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock
Transaction Date:
Value:  3/7/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  S
Equity Swap Involved?  No
Footnote ID:  F2
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  50,000
Transaction Price Per Share:
Value:  12.40
Footnote ID:  F3
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  12,177
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Holding:
Security Title:
Value:  Class A Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  200,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Royal Blue Aries Trust
Non-Derivative Holding:
Security Title:
Value:  Class A Common Stock
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  200,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Tiffany Blue Gemini Trust
Derivative Table:
Derivative Transaction:
Security Title:
Value:  Restricted Stock Units
Conversion or Exercise Price:
Footnote ID:  F4
Transaction Date:
Value:  3/6/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  3,030
Footnote ID:  F5
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F6
Expiration Date:
Footnote ID:  F6
Underlying Security:
Underlying Security Title:
Value:  Class B Common Stock
Underlying Security Shares:
Value:  3,030
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  142
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Restricted Stock Units
Conversion or Exercise Price:
Footnote ID:  F4
Transaction Date:
Value:  3/6/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  4,332
Footnote ID:  F5
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F7
Expiration Date:
Footnote ID:  F7
Underlying Security:
Underlying Security Title:
Value:  Class B Common Stock
Underlying Security Shares:
Value:  4,332
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  15,740
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Restricted Stock Units
Conversion or Exercise Price:
Footnote ID:  F4
Transaction Date:
Value:  3/6/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  44,703
Footnote ID:  F5
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F8
Expiration Date:
Footnote ID:  F8
Underlying Security:
Underlying Security Title:
Value:  Class B Common Stock
Underlying Security Shares:
Value:  44,703
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  799,284
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F9
Footnote ID:  F10
Transaction Date:
Value:  3/6/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  52,065
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Footnote ID:  F9
Footnote ID:  F10
Expiration Date:
Footnote ID:  F9
Footnote ID:  F10
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  52,065
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  4,304,952
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F9
Footnote ID:  F10
Transaction Date:
Value:  3/6/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  C
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  28,311
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F9
Footnote ID:  F10
Expiration Date:
Footnote ID:  F9
Footnote ID:  F10
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  28,311
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  4,276,641
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F9
Footnote ID:  F10
Transaction Date:
Value:  3/7/24
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  C
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  50,000
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F9
Footnote ID:  F10
Expiration Date:
Footnote ID:  F9
Footnote ID:  F10
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  50,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  4,226,641
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F9
Footnote ID:  F10
Exercise Date:
Footnote ID:  F9
Footnote ID:  F10
Expiration Date:
Footnote ID:  F9
Footnote ID:  F10
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  200,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  200,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Royal Blue Aires Trust
Derivative Holding:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F9
Footnote ID:  F10
Exercise Date:
Footnote ID:  F9
Footnote ID:  F10
Expiration Date:
Footnote ID:  F9
Footnote ID:  F10
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  200,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  200,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Tiffany Blue Gemini Trust
Derivative Holding:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F9
Footnote ID:  F10
Exercise Date:
Footnote ID:  F9
Footnote ID:  F10
Expiration Date:
Footnote ID:  F9
Footnote ID:  F10
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  1,519,661
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,519,661
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Neil H. Blumenthal 2011 Family Trust
Derivative Holding:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F9
Footnote ID:  F10
Exercise Date:
Footnote ID:  F9
Footnote ID:  F10
Expiration Date:
Footnote ID:  F9
Footnote ID:  F10
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  385,221
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  385,221
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Teal Aquarius Trust
Derivative Holding:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F9
Footnote ID:  F10
Exercise Date:
Footnote ID:  F9
Footnote ID:  F10
Expiration Date:
Footnote ID:  F9
Footnote ID:  F10
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  800,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  800,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Cobalt Pisces Trust
Derivative Holding:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F9
Footnote ID:  F10
Exercise Date:
Footnote ID:  F9
Footnote ID:  F10
Expiration Date:
Footnote ID:  F9
Footnote ID:  F10
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  1,000,000
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  1,000,000
Ownership Nature:
Direct or Indirect Ownership:
Value:  I
Nature of Ownership:
Value:  By Sky Scorpio Trust
Footnotes:
Footnote - F1:  These share sales are required by the Issuer's equity compensation plan to cover taxes due on restricted stock units ("RSUs") that vested.
Footnote - F2:  These share sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 14, 2023.
Footnote - F3:  The price reported in Column 4 is an average execution price. These shares were sold in multiple transactions at prices ranging from $12.30 to $12.54, inclusive. The reporting person undertakes to provide to 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 purchased at each separate price.
Footnote - F4:  Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock.
Footnote - F5:  This filing relates to the occurrence of a RSU vesting event.
Footnote - F6:  The RSUs will vest in 48 monthly installments beginning on January 1, 2020.
Footnote - F7:  The RSUs will vest in 48 monthly installments beginning on January 1, 2021.
Footnote - F8:  The RSUs will vest in 60 monthly installments beginning on July 1, 2021.
Footnote - F9:  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 the board 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,
Footnote - F10:  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, or otherwise 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.
Owner Signature:
Signature Name:  /s/ Chris Utecht, Attorney-in-Fact
Signature Date:  3/8/24


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