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Blumenthal Neil Harris – ‘4’ for 9/9/22 re: Warby Parker Inc.

On:  Tuesday, 9/13/22, at 8:18pm ET   ·   For:  9/9/22   ·   As:  Director and Officer   ·   Accession #:  1104659-22-99778   ·   File #:  1-40825

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

 9/13/22  Blumenthal Neil Harris            4          Dir.,Off.   1:21K  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 -- tm2225738-4_4seq1.xml/3.6     HTML     20K


        

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
 
 
Plain Text rendering:  Ownership Document — tm2225738-4_4seq1.xml/3.6
 
                                                                                                                                                                                
Ownership Document
 
Schema Version:  X0306
Document Type:  4
Period of Report:  9/9/22
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:
Non-Derivative Table:
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock
Transaction Date:
Value:  9/9/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  C
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  5,099
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  5,205
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Non-Derivative Transaction:
Security Title:
Value:  Class A Common Stock
Transaction Date:
Value:  9/9/22
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:  5,099
Transaction Price Per Share:
Value:  15.10
Transaction Acquired-Disposed Code:
Value:  D
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  106
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:  F2
Transaction Date:
Value:  9/9/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  3,608
Footnote ID:  F3
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F4
Expiration Date:
Footnote ID:  F4
Underlying Security:
Underlying Security Title:
Value:  Class B Common Stock
Underlying Security Shares:
Value:  3,608
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  6,013
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Restricted Stock Units
Conversion or Exercise Price:
Footnote ID:  F2
Transaction Date:
Value:  9/9/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  4,545
Footnote ID:  F3
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F5
Expiration Date:
Footnote ID:  F5
Underlying Security:
Underlying Security Title:
Value:  Class B Common Stock
Underlying Security Shares:
Value:  4,545
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  25,897
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Restricted Stock Units
Conversion or Exercise Price:
Footnote ID:  F2
Transaction Date:
Value:  9/9/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  4,331
Footnote ID:  F3
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:  4,331
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  41,729
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F7
Footnote ID:  F8
Transaction Date:
Value:  9/9/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  M
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  12,484
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  A
Exercise Date:
Footnote ID:  F7
Footnote ID:  F8
Expiration Date:
Footnote ID:  F7
Footnote ID:  F8
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  12,484
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  3,202,947
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Transaction:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F7
Footnote ID:  F8
Transaction Date:
Value:  9/9/22
Deemed Execution Date:
Transaction Coding:
Transaction Form Type:  4
Transaction Code:  C
Equity Swap Involved?  No
Transaction Timeliness:
Transaction Amounts:
Transaction Shares:
Value:  5,099
Transaction Price Per Share:
Value:  0
Transaction Acquired-Disposed Code:
Value:  D
Exercise Date:
Footnote ID:  F7
Footnote ID:  F8
Expiration Date:
Footnote ID:  F7
Footnote ID:  F8
Underlying Security:
Underlying Security Title:
Value:  Class A Common Stock
Underlying Security Shares:
Value:  5,099
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  3,197,848
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Restricted Stock Units
Conversion or Exercise Price:
Footnote ID:  F2
Exercise Date:
Footnote ID:  F9
Expiration Date:
Footnote ID:  F9
Underlying Security:
Underlying Security Title:
Value:  Class B Common Stock
Underlying Security Shares:
Value:  939,020
Post-Transaction Amounts:
Shares Owned Following Transaction:
Value:  939,020
Ownership Nature:
Direct or Indirect Ownership:
Value:  D
Derivative Holding:
Security Title:
Value:  Class B Common Stock
Conversion or Exercise Price:
Footnote ID:  F7
Footnote ID:  F8
Exercise Date:
Footnote ID:  F7
Footnote ID:  F8
Expiration Date:
Footnote ID:  F7
Footnote ID:  F8
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:  F7
Footnote ID:  F8
Exercise Date:
Footnote ID:  F7
Footnote ID:  F8
Expiration Date:
Footnote ID:  F7
Footnote ID:  F8
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:  F7
Footnote ID:  F8
Exercise Date:
Footnote ID:  F7
Footnote ID:  F8
Expiration Date:
Footnote ID:  F7
Footnote ID:  F8
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:  F7
Footnote ID:  F8
Exercise Date:
Footnote ID:  F7
Footnote ID:  F8
Expiration Date:
Footnote ID:  F7
Footnote ID:  F8
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:  F7
Footnote ID:  F8
Exercise Date:
Footnote ID:  F7
Footnote ID:  F8
Expiration Date:
Footnote ID:  F7
Footnote ID:  F8
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
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:  Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock.
Footnote - F3:  This filing relates to the occurrence of a RSU vesting event.
Footnote - F4:  The RSUs will vest in 48 monthly installments beginning on January 1, 2019.
Footnote - F5:  The RSUs will vest in 48 monthly installments beginning on January 1, 2020.
Footnote - F6:  The RSUs will vest in 48 monthly installments beginning on January 1, 2021.
Footnote - F7:  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 - F8:  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.
Footnote - F9:  The RSUs will vest in 60 monthly installments beginning on July 1, 2021.
Owner Signature:
Signature Name:  /s/ Hyung Bak, Attorney-in-Fact
Signature Date:  9/13/22


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