SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person*
| 12130 MILLENNIUM DRIVE, SUITE 500 |
|
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
05/04/2021
|
3. Issuer Name and Ticker or Trading Symbol
Honest Company, Inc.
[ HNST ]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| General Counsel |
|
5. 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 Beneficially Owned |
|---|
| 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)
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 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)
|
| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Employee Stock Option (Right to Buy) |
|
07/30/2030 |
Common Stock |
82,500 |
5.66 |
D |
|
| Employee Stock Option (Right to Buy) |
|
07/30/2030 |
Common Stock |
41,250 |
5.66 |
D |
|
| Employee Stock Option (Right to Buy) |
|
07/30/2030 |
Common Stock |
41,250 |
5.66 |
D |
|
| Employee Stock Option (Right to Buy) |
|
07/30/2030 |
Common Stock |
55,000 |
5.66 |
D |
|
| Explanation of Responses: |
|
|
| Remarks: |
|
|
/s/ Brendan Sheehey |
05/04/2021 |
|
** 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. |
POWER OF ATTORNEY
KNOW ALL BY THESE PRESENTS that the undersigned hereby constitutes
and appoints each of Kelly Kennedy of The Honest Company, Inc. (the
"Company"), and C. Thomas Hopkins, Siana Lowrey, Erika Kaneko, Carlos
Ramirez and Amy Saldamando of Cooley LLP, signing individually, as the
undersigned's true and lawful attorneys-in-fact and agents to:
1. Prepare, execute for and on behalf of the undersigned, and submit to the
Securities and Exchange Commission (the "SEC"), in the undersigned's
name and capacity as an officer, director and/or beneficial owner more
than 10% of a registered class of securities of the Company, Forms 3, 4
and 5 (including any amendments thereto and joint filing agreements in
connection therewith) in accordance with Section 16 of the Securities
Exchange Act of 1934, as amended, and the rules thereunder (the
"Exchange Act");
2. do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to prepare and execute any such
Forms 3, 4 or 5, prepare and execute any amendment or amendments
thereto, and joint filing agreements in connection therewith, and file such
forms with the SEC and any stock exchange, self-regulatory association or
similar authority; and
3. take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit
to, in the best interest of, or legally required of, the undersigned, it being
understood that the documents executed by such attorney-in-fact on
behalf of the undersigned pursuant to this Power of Attorney shall be in
such form and shall contain such terms and conditions as such attorney-
in-fact may approve in such attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby
ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's
substitute or substitutes, shall lawfully do or cause to be done by virtue of
this
power of attorney and the rights and powers herein granted. The undersigned
acknowledges that the foregoing attorneys-in-fact, and their substitutes, in
serving
in such capacity at the request of the undersigned, are not assuming, nor is the
Company assuming, any of the undersigned's responsibilities to comply with
Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until the
earliest to occur of (a) the undersigned is no longer required to file Forms 3,
4 and 5 with respect to the undersigned's holdings of and transactions in
securities issued by the Company, (b) revocation by the undersigned in a signed
writing delivered to
the Company and the foregoing attorneys-in-fact or (c) as to any
attorney-in-fact
individually, until such attorney-in-fact is no longer employed by the Company
or
employed by or a partner at Cooley LLP, or another law firm representing the
Company, as applicable.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney
to be executed as of this 30th day of April, 2021.
/s/ Brendan Sheehey
BRENDAN SHEEHEY
