Statement of Changes in Beneficial Ownership (4)
February 24 2021 - 6:31PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed 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
*
Lake Katrina |
2. Issuer Name and Ticker or Trading Symbol
Stitch Fix, Inc.
[
SFIX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
ONE MONTGOMERY TOWER SUITE 1500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/24/2021 |
(Street)
SAN FRANCISCO, CA 94104
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | | | | | | | | 23155 | D | |
Class A Common Stock | 2/24/2021 | | C(1) | | 5556 (2) | A | $0 | 15113 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 (3) |
Class A Common Stock | 2/24/2021 | | C(1) | | 29168 (2) | A | $0 | 29168 | I | Katrina M. Lake Revocable Trust (4) |
Class A Common Stock | 2/24/2021 | | C(1) | | 9054 (2) | A | $0 | 9054 | I | Katrina M. Lake 2017 Irrevocable Trust (5) |
Class A Common Stock | 2/24/2021 | | S(6) | | 1224 | D | $70.0799 (7) | 13889 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
Class A Common Stock | 2/24/2021 | | S(6) | | 2982 | D | $70.8946 (8) | 10907 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
Class A Common Stock | 2/24/2021 | | S(6) | | 1150 | D | $71.6704 (9) | 9757 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
Class A Common Stock | 2/24/2021 | | S(6) | | 200 | D | $73.16 | 9557 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
Class A Common Stock | 2/24/2021 | | S(6) | | 6514 | D | $70.086 (10) | 22654 | I | Katrina M. Lake Revocable Trust |
Class A Common Stock | 2/24/2021 | | S(6) | | 15407 | D | $70.92 (11) | 7247 | I | Katrina M. Lake Revocable Trust |
Class A Common Stock | 2/24/2021 | | S(6) | | 6141 | D | $71.6904 (12) | 1106 | I | Katrina M. Lake Revocable Trust |
Class A Common Stock | 2/24/2021 | | S(6) | | 1106 | D | $72.903 (13) | 0 | I | Katrina M. Lake Revocable Trust |
Class A Common Stock | 2/24/2021 | | S(6) | | 2054 | D | $70.0553 (14) | 7000 | I | Katrina M. Lake 2017 Irrevocable Trust |
Class A Common Stock | 2/24/2021 | | S(6) | | 4900 | D | $70.9376 (15) | 2100 | I | Katrina M. Lake 2017 Irrevocable Trust |
Class A Common Stock | 2/24/2021 | | S(6) | | 1900 | D | $71.7511 (16) | 200 | I | Katrina M. Lake 2017 Irrevocable Trust |
Class A Common Stock | 2/24/2021 | | S(6) | | 200 | D | $73.16 | 0 | I | Katrina M. Lake 2017 Irrevocable Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Class B Common Stock | (2) | 2/24/2021 | | C (1) | | | 5556 | (2) | (2) | Class A Common Stock | 5556.0 | $0 | 316650 | I | John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016 |
Class B Common Stock | (2) | 2/24/2021 | | C (1) | | | 29168 | (2) | (2) | Class A Common Stock | 29168.0 | $0 | 10066397 | I | Katrina M. Lake Revocable Trust |
Class B Common Stock | (2) | 2/24/2021 | | C (1) | | | 9054 | (2) | (2) | Class A Common Stock | 9054.0 | $0 | 244449 | I | Katrina M. Lake 2017 Irrevocable Trust |
Explanation of Responses: |
(1) | Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person. |
(2) | Each 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. |
(3) | The 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. |
(4) | The shares are held by Katrina M. Lake, Trustee of The Katrina M. Lake Revocable Trust dated May 23, 2016. |
(5) | The shares are held by Katrina M, Lake, Trustee of The Katrina M. Lake 2017 Irrevocable Trust. |
(6) | Shares disposed of pursuant to a previously established Rule 10b5-1 plan. |
(7) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $69.45 to $70.41 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. |
(8) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $70.49 to $71.44 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. |
(9) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $71.52 to $72.38 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. |
(10) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $69.45 to $70.44 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. |
(11) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $70.45 to $71.43 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. |
(12) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $71.45 to $72.405 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. |
(13) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $72.46 to $73.16 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. |
(14) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $69.47 to $70.46 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. |
(15) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $70.51 to $71.50 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. |
(16) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $71.55 to $72.47 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lake Katrina ONE MONTGOMERY TOWER SUITE 1500 SAN FRANCISCO, CA 94104 | X | X | Chief Executive Officer |
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Signatures
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/s/ Scott Darling, Attorney-in-Fact for Katrina Lake | | 2/24/2021 |
**Signature of Reporting Person | Date |
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