SEC Form 4 · accession 0001179110-15-006567
Zumiez Inc · ZUMZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Troy R. Brown
Officer — EVP of Ecommerce & Omnichannel
Period of report
Apr 22, 2015
Accepted (ET)
Apr 24, 2015 · 4:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001318008
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 22, 2015 | S | 7,892 | $34.08 | D | 13,257 | D | |
| Common StockF1 | Apr 22, 2015 | S | 4,500 | $34.03 | D | 8,757 | D | |
| Common Stock | Apr 23, 2015 | M | 16,200 | $6.88 | A | 24,957 | D | |
| Common Stock | Apr 23, 2015 | M | 7,500 | $19.23 | A | 32,457 | D | |
| Common StockF3 | Apr 23, 2015 | S | 19,200 | $34.10 | D | 13,257 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (Right to buy)F2 | $6.88 | Apr 23, 2015 | M | 16,200 | D | Mar 16, 2010 | Mar 16, 2019 | Common Stock | 16,200 | 0 | D |
| Options (Right to buy)F2 | $19.23 | Apr 23, 2015 | M | 7,500 | D | Mar 15, 2011 | Mar 15, 2020 | Common Stock | 7,500 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer the detailed information regarding the number of shares sold at each price.
- F2Options subject to this grant vest over a 4-year period in equal annual installments.
- F3The share total includes 1,359 shares acquired through the Zumiez Inc. Employee Stock Purchase Plan.