SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Tiziani Eric

(Last) (First) (Middle)
C/O OLAPLEX HOLDINGS, INC.
1178 COAST VILLAGE RD, SUITE 1-520

(Street)
SANTA BARBARA CA 93108

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
OLAPLEX HOLDINGS, INC. [ OLPX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Financial Officer
3. Date of Earliest Transaction (Month/Day/Year)
09/29/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/10/2022 P 20,000 A $14.78(1) 20,000 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Option (Right to Buy) $3.34 09/29/2021 A(2) 770,850 (3) 06/07/2031 Common Stock 770,850 $0.00 770,850 D
Option (Right to Buy) $3.34 09/29/2021 A(2) 579,150 (4) 06/22/2031 Common Stock 579,150 $0.00 579,150 D
Explanation of Responses:
1. The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $14.74 to $14.79, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company 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.
2. These stock options were granted prior to the initial public offering of the common stock, par value $0.001 per share ("Common Stock"), of Olaplex Holdings, Inc. (the "Company"), pursuant to a reorganization of the Company completed on September 29, 2021. These transactions were exempt from Section 16(b) in reliance upon Rule 16b-3 and are being reported herein pursuant to Rule 16a-2(a).
3. This option vests as to the underlying shares of Common Stock of the Company, in five equal installments on each of June 7, 2022, June 7, 2023, June 7, 2024, June 7, 2025, and June 7, 2026.
4. This option is vested as to 193,050 shares of Common Stock underlying this option, and vests as to one third of the remaining portion of the underlying shares of Common Stock in equal installments on each of the first three anniversaries of October 4, 2021, the date of consummation of the initial public offering of the Company's Common Stock.
Remarks:
/s/ Eric Tiziani 03/11/2022
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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