SEC Form 4 · accession 0001246360-19-000275
Stitch Fix, Inc. · SFIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Katrina Lake
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 6:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001576942
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF2,F3 | Jan 22, 2019 | C | 28,333 | $0.00 | A | 28,333 | I | Katrina M. Lake Revocable Trust |
| Class A Common StockF2,F4 | Jan 22, 2019 | C | 5,000 | $0.00 | A | 5,000 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
| Class A Common StockF6,F3 | Jan 22, 2019 | S | 28,333 | $22.4384 | D | 0 | I | Katrina M. Lake Revocable Trust |
| Class A Common StockF7,F4 | Jan 22, 2019 | S | 5,000 | $22.4758 | D | 0 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
| Class A Common StockF2,F3 | Jan 23, 2019 | C | 28,333 | $0.00 | A | 28,333 | I | Katrina M. Lake Revocable Trust |
| Class A Common StockF2,F4 | Jan 23, 2019 | C | 5,000 | $0.00 | A | 5,000 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
| Class A Common StockF8,F3 | Jan 23, 2019 | S | 28,333 | $21.4735 | D | 0 | I | Katrina M. Lake Revocable Trust |
| Class A Common StockF9,F4 | Jan 23, 2019 | S | 5,000 | $21.5316 | D | 0 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
| Class A Common StockF2,F4 | Jan 24, 2019 | C | 5,000 | $0.00 | A | 5,000 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
| Class A Common StockF2,F3 | Jan 24, 2019 | C | 28,334 | $0.00 | A | 28,334 | I | Katrina M. Lake Revocable Trust |
| Class A Common StockF10,F4 | Jan 24, 2019 | S | 5,000 | $21.815 | D | 0 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
| Class A Common StockF11,F3 | Jan 24, 2019 | S | 28,334 | $21.8874 | D | 0 | I | Katrina M. Lake Revocable Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF3,F2 | — | Jan 22, 2019 | C | 28,333 | D | — | — | Class A Common Stock | 28,333 | 11,397,199 | I |
| Class B Common StockF4,F2 | — | Jan 22, 2019 | C | 5,000 | D | — | — | Class A Common Stock | 5,000 | 695,772 | I |
| Class B Common StockF3,F2 | — | Jan 23, 2019 | C | 28,333 | D | — | — | Class A Common Stock | 28,333 | 11,368,866 | I |
| Class B Common StockF4,F2 | — | Jan 23, 2019 | C | 5,000 | D | — | — | Class A Common Stock | 5,000 | 690,772 | I |
| Class B Common StockF4,F2 | — | Jan 24, 2019 | C | 5,000 | D | — | — | Class A Common Stock | 5,000 | 685,772 | I |
| Class B Common StockF3,F2 | — | Jan 24, 2019 | C | 28,334 | D | — | — | Class A Common Stock | 28,334 | 11,340,532 | I |
Explanation of responses
- F1Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person.
- F10The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $21.52 to $21.92 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 set forth in this footnote.
- F11The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $21.57 to $22.02 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 set forth in this footnote.
- F2Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.
- F3The shares are held by Katrina M. Lake, Trustee of The Katrina M. Lake Revocable Trust dated May 23, 2016.
- F4The shares are held by John C. Clifford and Katrina M. Lake, Trustees of the John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016.
- F5Shares disposed of pursuant to a previously established Rule 10b5-1 plan.
- F6The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $22.20 to $22.66 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 set forth in this footnote.
- F7The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $22.26 to $22.66 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 set forth in this footnote.
- F8The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $21.06 to $21.85 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 set forth in this footnote.
- F9The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $21.33 to $21.59 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 set forth in this footnote.