Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 13)*

 

 

Zumiez Inc.

(Name of Issuer)

 

 

Common Stock, no par value

(Title of Class of Securities)

989817101

(CUSIP Number)

December 31, 2018

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

 

*   The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 


 

CUSIP No. 989817101

 

    
  1.   

Names of Reporting Persons

 

Richard M. Brooks

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐        (b)  ☐

 

    
  3.  

SEC Use Only

 

    
  4.  

Citizenship or Place of Organization

 

    United States of America

    

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

   5.    

Sole Voting Power

 

    3,073,024

   &n bsp;
   6.   

Shared Voting Power

 

    0

    
   7.   

Sole Dispositive Power

 

    3,073,024

    
   8.   

Shared Dispositive Power

 

    0

    

  9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person

 

    3,073,024

    

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

  

11.

 

Percent of Class Represented by Amount in Row (9)

 

    12.04%*

    

12.

 

Type of Reporting Person (See Instructions)

 

    IN

    

 

 

*

Based on 25,529,003 shares of the Issuer’s Common Stock outstanding as of December 28, 2018.

 

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Item 1.

 

(a)

   Name of Issuer      
     Zumiez Inc. (the “Issuer”)      
 

(b)

   Address of Issuer’s Principal Executive Offices      
    

4001 204th Street SW

Lynnwood, Washington 98036

     

Item 2.

 

(a)

   Name of Person Filing      
     Richard M. Brooks      
 

(b)

   Address of Principal Business Office or, if none, Residence      
    

4001 204th Street SW

Lynnwood, Washington 98036

     
 

(c)

   Citizenship      
     United States of America      
 

(d)

   Title of Class of Securities      
     Common Stock, no par value      
 

(e)

  

CUSIP Number

 

989817101

     

Item 3.

  If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:   
  (a)       Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
  (b)       Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
  (c)       Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
  (d)       Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
  (e)       An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
  (f)       An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
  (g)     & nbsp; A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
  (h)       A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
  (i)       A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
  (j)       Group, in accordance with §240.13d-1(b)(1)(ii)(J).
  Not Applicable      

 

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Item 4.

   Ownership      
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified
in Item 1.
   (a)    Amount beneficially owned: See the response to Item 9 on the attached cover page.      
   (b)    Percent of class: See the response to Item 11 on the attached cover page.      
   (c)    Number of shares as to which the person has:      
      (i)   

Sole power to vote or to direct the vote

 

See the response to Item 5 on the attached cover page.

     
      (ii)   

Shared power to vote or to direct the vote

 

See the response to Item 6 on the attached cover page.

     
      (iii)   

Sole power to dispose or to direct the disposition of

 

See the response to Item 7 on the attached cover page.

      (iv)   

Shared power to dispose or to direct the disposition of

 

See the response to Item 8 on the attached cover page.

Item 5.

   Ownership of Five Percent or Less of a Class   
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the following    ☐.
Not Applicable.

Item 6.

   Ownership of More than Five Percent on Behalf of Another Person      
Not Applicable.

Item 7.

   Identification and Classification of the Subsidiary Which Acquired the S ecurity Being Reported on By the Parent
Holding Company or Control Person
Not Applicable.

Item 8.

   Identification and Classification of Members of the Group      
Not Applicable.

Item 9.

   Notice of Dissolution of Group      
Not Applicable.

Item 10.

   Certification      
Not Applicable.

 

4


Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

February 7, 2019

Date

/s/    RICHARD M. BROOKS        

Signature

Richard M. Brooks

Name/Title

 

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