0000899243-21-036683.txt : 20210920 0000899243-21-036683.hdr.sgml : 20210920 20210920214846 ACCESSION NUMBER: 0000899243-21-036683 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210701 FILED AS OF DATE: 20210920 DATE AS OF CHANGE: 20210920 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spear Catherine Eva CENTRAL INDEX KEY: 0001820448 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40448 FILM NUMBER: 211264649 MAIL ADDRESS: STREET 1: 16 FUNSTON AVENUE, SUITE A STREET 2: THE PRESIDIO OF SAN FRANCISCO CITY: SAN FRANCISCO STATE: CA ZIP: 94129 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FIGS, Inc. CENTRAL INDEX KEY: 0001846576 STANDARD INDUSTRIAL CLASSIFICATION: APPAREL & OTHER FINISHED PRODS OF FABRICS & SIMILAR MATERIAL [2300] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2834 COLORADO AVENUE STREET 2: SUITE 100 CITY: SANTA MONICA STATE: CA ZIP: 90404 BUSINESS PHONE: 420-500-8209 MAIL ADDRESS: STREET 1: 2834 COLORADO AVENUE STREET 2: SUITE 100 CITY: SANTA MONICA STATE: CA ZIP: 90404 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-07-01 0 0001846576 FIGS, Inc. FIGS 0001820448 Spear Catherine Eva C/O FIGS, INC. 2834 COLORADO AVENUE, SUITE 100 SANTA MONICA CA 90404 1 1 1 0 Co-Chief Executive Officer Class A Common Stock 2021-09-20 4 C 0 1468324 A 1468324 I Held by the Catherine Spear Revocable Trust Class A Common Stock 2021-09-20 4 S 0 1468324 40.25 D 0 I Held by the Catherine Spear Revocable Trust Class A Common Stock 1804397 D Class B Common Stock 2021-07-01 5 G 0 E 319734 D Class A Common Stock 319734 983016 I Held by the Wingaersheek Irrevocable Trust I u/a/d 10/15/2020 Class B Common Stock 2021-07-01 5 G 0 E 319734 A Class A Common Stock 319734 2619810 I Held by the Catherine Spear Revocable Trust Class B Common Stock 2021-07-01 5 G 0 E 319734 D Class A Common Stock 319734 983016 I Held by the Wingaersheek Irrevocable Trust II u/a/d 10/15/2020 Class B Common Stock 2021-07-01 5 G 0 E 319734 A Class A Common Stock 319734 2939544 I Held by the Catherine Spear Revocable Trust Class B Common Stock 2021-09-20 4 C 0 1468324 0.00 D Class A Common Stock 1468324 1471220 I Held by the Catherine Spear Revocable Trust On September 20, 2021, the Reporting Person directed the sale of 1,468,324 shares of her Class B Common Stock, resulting in the automatic conversion of such shares of Class B Common Stock at a 1:1 ratio into shares of the Issuer's Class A Common Stock upon execution of the sale and pursuant to the terms of the Issuer's Amended and Restated Certificate of Incorporation. These securities are restricted stock units ("RSUs") each representing a contingent right to receive one share of the Issuer's Class A Common Stock. Upon vesting and settlement of the RSUs, the shares of the Issuer's Class A Common Stock held by the Reporting Person may be exchanged at a 1:1 ratio for shares of the Issuer's Class B Common Stock at the election of the Reporting Person pursuant to an equity award exchange right agreement between the Issuer and the Reporting Person, as previously approved by the Issuer's board of directors. Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. In addition, each share of Class B Common Stock will automatically convert into one share of Class A Common Stock upon transfer or certain other events as described in the Issuer's Amended and Restated Certificate of Incorporation. All shares of Class B Common Stock, if not previously converted, will automatically convert into Class A Common Stock on June 1, 2031. On July 1, 2021, the Reporting Person transferred 319,734 shares of Class B Common Stock of the Issuer from the Wingaersheek Irrevocable Trust I u/a/d 10/15/2020 to the Catherine Spear Revocable Trust, of each of which the Reporting Person is trustee. The Reporting Person has voting and investment control over these shares. On July 1, 2021, the Reporting Person transferred 319,734 shares of Class B Common Stock of the Issuer from the Wingaersheek Irrevocable Trust II u/a/d 10/15/2020 to the Catherine Spear Revocable Trust, of each of which the Reporting Person is trustee. The Reporting Person has voting and investment control over these shares. /s/ Danielle Warner, Attorney-in-Fact for Catherine Eva Spear 2021-09-20