3: Initial statement of beneficial ownership of securities
Published on February 10, 2025
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIESFiled 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/03/2025 |
3. Issuer Name and Ticker or Trading Symbol
OLAPLEX HOLDINGS, INC. [ OLPX ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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| Common Stock | 383,643(1) | D |
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Option (Right to Buy) | (2) | 04/11/2032 | Common Stock | 85,000 | 14.95 | D | |
| Option (Right to Buy) | (3) | 11/23/2032 | Common Stock | 85,000 | 5.41 | D | |
| Explanation of Responses: |
| 1. Represents 15,045 shares of common stock, par value $0.001 per share ("Common Stock"), of the Issuer and 368,598 restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the conditional right to receive one share of Common Stock of the Issuer. 84,507 RSUs will vest in three equal installments on each of April 13, 2025, April 13, 2026, and April 13, 2027, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting date. 284,091 RSUs will vest in four equal installments on each of March 6, 2025, March 6, 2026, March 6, 2027, and March 6, 2028, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting date. |
| 2. This option is vested as to 50% of the underlying shares of Common Stock of the Issuer and vests as to the remaining 50% in two equal installments on each of April 11, 2025 and April 11, 2026, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting date. |
| 3. This option is vested as to 50% of the underlying shares of Common Stock of the Issuer and vests as to the remaining 50% in two equal installments on each of November 23, 2025 and November 23, 2026, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting date. |
| Remarks: |
| Exhibit 24.1 - Power of Attorney. |
| /s/ John C. Duffy | 02/10/2025 | |
| ** 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 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.