0001628280-22-024527.txt : 20220907 0001628280-22-024527.hdr.sgml : 20220907 20220907172749 ACCESSION NUMBER: 0001628280-22-024527 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220902 FILED AS OF DATE: 20220907 DATE AS OF CHANGE: 20220907 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: 221231983 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 wf-form4_166258605381056.xml FORM 4 X0306 4 2022-09-02 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 Chief Executive Officer Class A Common Stock 2022-09-02 4 J 0 169076 0 D 944813 D Class A Common Stock 7073 I Held by the Catherine Spear Revocable Trust Class A Common Stock 141 I Held by Hollywood Capital Partners LLC Class B Common Stock 2022-09-02 4 J 0 169076 0 A Class A Common Stock 169076.0 507228 D Class B Common Stock Class A Common Stock 2150521.0 2150521 I Held by the Catherine Spear Revocable Trust Class B Common Stock Class A Common Stock 983016.0 983016 I Held by the Wingaersheek Irrevocable Trust I u/a/d 10/15/2020 Class B Common Stock Class A Common Stock 983016.0 983016 I Held by the Wingaersheek Irrevocable Trust II u/a/d 10/15/2020 THIS FORM 4 DOES NOT CONCERN THE SALE OF ANY SHARES. IT ONLY CONCERNS THE EXCHANGE BY THE REPORTING PERSON OF CERTAIN SHARES OF THE ISSUER'S CLASS A COMMON STOCK FOR SHARES OF THE ISSUER'S CLASS B COMMON STOCK. SEE ADDITIONAL FOOTNOTES BELOW FOR MORE INFORMATION. Upon vesting and settlement of RSUs for shares of the Issuer's Class A Common Stock, such shares were 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 (the "Equity Award Exchange Right Agreement"). All but 21,306 of these securities are RSUs, each representing a contingent right to receive one share of the Issuer's Class A Common Stock. Upon vesting and settlement of certain of the RSUs, certain 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 the Equity Award Exchange Right Agreement. The Reporting Person is a managing member of Hollywood Capital Partners LLC and disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein. 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. The number of shares listed in column 5 of Table I and column 9 of Table II do not include stock options held by the Reporting Person. /s/ Danielle Warner, Attorney-in-Fact for Catherine E. Spear 2022-09-07