Form 4 for HIMS Hims & Hers Health, Inc.
Accepted 2021-08-09 00:00:00 ET · period of report 2021-08-06 · accession 0000899243-21-032274 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-08-09 | 2021-08-06 | HIMS | Bhattacharyya Ambar | Dir | F - Tax | — | -7,002 | 611.4K | -1% | — |
| DMI | 2021-08-09 | 2021-08-06 | HIMS | Bhattacharyya Ambar | Dir | M - OptEx | $11.50 | +9,552 | 1.10M | +0.9% | +$109.8K |
| DMI | 2021-08-09 | 2021-08-06 | HIMS | Bhattacharyya Ambar | Dir | M - OptEx | $0.00 | -9,552 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-08-06 | F | D | 4,501 | — | 1,100,241 | I Held by Maverick Ventures Investment Fund, L.P. | — | — | (F1) Maverick Advisors Fund, L.P. ("MAF LP") and Maverick Ventures Investment Fund, L.P. ("MVIF LP") exercised warrants to purchase shares of the Issuer's Class A Common Stock on July 28, 2021. The warrants were exercised on a cashless basis pursuant to Section 6.2 of that certain Warrant Agreement, by and between the Issuer and Continental Stock Transfer & Trust, dated, July 22, 2019 (the "Warrant Agreement"), following the Issuer's Notice of Redemption dated July 9, 2021. In the cashless exercise, under the terms of the Warrant Agreement, MAF LP and MVIF LP received 0.267 shares per warrant exercised and the Issuer withheld 0.733 shares per warrant exercised. The exercise of the warrants, the withholding of shares of Class A Common Stock in the cashless exercises and the resulting issuance of the net shares of Class A Common Stock were exempt under Rule 16b-3 of the Securities Exchange Act of 1934, as amended. (F3) The Reporting Person is a Member of Maverick Capital Ventures, LLC ("Maverick Ventures"), the general partner of MAF LP and MVIF LP. The Reporting Person disclaims beneficial ownership of the securities held by MAF LP and MVIF LP and this report shall not be deemed an admission that he is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any, by virtue of his interest in Maverick Ventures. |
| 2 | Common | Class A Common Stock | 2021-08-06 | F | D | 2,501 | — | 611,401 | I Held by Maverick Advisors Fund, L.P. | — | — | (F1) Maverick Advisors Fund, L.P. ("MAF LP") and Maverick Ventures Investment Fund, L.P. ("MVIF LP") exercised warrants to purchase shares of the Issuer's Class A Common Stock on July 28, 2021. The warrants were exercised on a cashless basis pursuant to Section 6.2 of that certain Warrant Agreement, by and between the Issuer and Continental Stock Transfer & Trust, dated, July 22, 2019 (the "Warrant Agreement"), following the Issuer's Notice of Redemption dated July 9, 2021. In the cashless exercise, under the terms of the Warrant Agreement, MAF LP and MVIF LP received 0.267 shares per warrant exercised and the Issuer withheld 0.733 shares per warrant exercised. The exercise of the warrants, the withholding of shares of Class A Common Stock in the cashless exercises and the resulting issuance of the net shares of Class A Common Stock were exempt under Rule 16b-3 of the Securities Exchange Act of 1934, as amended. (F3) The Reporting Person is a Member of Maverick Capital Ventures, LLC ("Maverick Ventures"), the general partner of MAF LP and MVIF LP. The Reporting Person disclaims beneficial ownership of the securities held by MAF LP and MVIF LP and this report shall not be deemed an admission that he is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any, by virtue of his interest in Maverick Ventures. |
| 3 | Common | Class A Common Stock | 2021-08-06 | M | A | 3,412 | $11.50 | 613,902 | I Held by Maverick Advisors Fund, L.P. | — | — | (F3) The Reporting Person is a Member of Maverick Capital Ventures, LLC ("Maverick Ventures"), the general partner of MAF LP and MVIF LP. The Reporting Person disclaims beneficial ownership of the securities held by MAF LP and MVIF LP and this report shall not be deemed an admission that he is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any, by virtue of his interest in Maverick Ventures. |
| 4 | Common | Class A Common Stock | 2021-08-06 | M | A | 6,140 | $11.50 | 1,104,742 | I Held by Maverick Ventures Investment Fund, L.P. | — | — | (F3) The Reporting Person is a Member of Maverick Capital Ventures, LLC ("Maverick Ventures"), the general partner of MAF LP and MVIF LP. The Reporting Person disclaims beneficial ownership of the securities held by MAF LP and MVIF LP and this report shall not be deemed an admission that he is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any, by virtue of his interest in Maverick Ventures. |
| 5 | Derivative | Warrant (right to buy) | 2021-08-06 | M | D | 6,140 | $0.00 | 0 | I Held by Maverick Ventures Investment Fund, L.P. | $11.50 · 2021-01-20 to 2026-01-20 | 6,140 Class A Common Stock | (F3) The Reporting Person is a Member of Maverick Capital Ventures, LLC ("Maverick Ventures"), the general partner of MAF LP and MVIF LP. The Reporting Person disclaims beneficial ownership of the securities held by MAF LP and MVIF LP and this report shall not be deemed an admission that he is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any, by virtue of his interest in Maverick Ventures. |
| 6 | Derivative | Warrant (right to buy) | 2021-08-06 | M | D | 3,412 | $0.00 | 0 | I Held by Maverick Advisors Fund, L.P. | $11.50 · 2021-01-20 to 2026-01-20 | 3,412 Class A Common Stock | (F3) The Reporting Person is a Member of Maverick Capital Ventures, LLC ("Maverick Ventures"), the general partner of MAF LP and MVIF LP. The Reporting Person disclaims beneficial ownership of the securities held by MAF LP and MVIF LP and this report shall not be deemed an admission that he is the beneficial owner of such securities, except to the extent of his indirect pecuniary interest therein, if any, by virtue of his interest in Maverick Ventures. |