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.
- Peter Lynch
What is insider trading>>
|
UNITED STATES |
|
|
SECURITIES AND EXCHANGE COMMISSION |
|
|
Washington, D.C. 20549 |
|
|
SCHEDULE 13G |
|
Under
the Securities Exchange Act of 1934
(Amendment No. )*
Zumiez Inc.
(Name of Issuer)
Common Stock, no par value
(Title of Class of Securities)
989817101
(CUSIP Number)
December 31, 2005
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o |
Rule 13d-1(b) |
o |
Rule 13d-1(c) |
ý |
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. I.R.S. Identification Nos. of above persons (entities only) |
|||
|
|||||
|
2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
|||
|
|
(a) |
o |
||
|
|
(b) |
o |
||
|
|||||
|
3. |
SEC Use Only |
|||
|
|||||
|
4. |
Citizenship or Place of
Organization |
|||
|
|
|
|||
Number of |
5. |
Sole Voting Power |
|||
|
|||||
6. |
Shared Voting Power |
||||
|
|||||
7. |
Sole Dispositive Power |
||||
|
|||||
8. |
Shared Dispositive Power |
||||
|
|||||
|
9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
|||
|
|||||
|
10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
|||
|
|||||
|
11. |
Percent of Class
Represented by Amount in Row (9) |
|||
|
|||||
|
12. |
Type of Reporting Person
(See Instructions) |
|||
* The membership interests of Brentwood-Zumiez Investors, LLC are held by Brentwood Associates Private Equity III, L.P., Brentwood Associates Private Equity III-A, L.P., and BAPE III Executive Fund, L.P. (collectively, the Brentwood Funds). Brentwood Private Equity III, LLC is the general partner of each of the Brentwood Funds.
** Based on 13,627,989 shares of the Issuers Common Stock outstanding as of December 15, 2005
2
|
1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) |
|||
|
|||||
|
2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
|||
|
|
(a) |
o |
||
|
|
(b) |
o |
||
|
|||||
|
3. |
SEC Use Only |
|||
|
|||||
|
4. |
Citizenship or Place of
Organization |
|||
|
|
|
|||
Number of |
5. |
Sole Voting Power |
|||
|
|||||
6. |
Shared Voting Power |
||||
|
|||||
7. |
Sole Dispositive Power |
||||
|
|||||
8. |
Shared Dispositive Power |
||||
|
|||||
|
9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
|||
|
|||||
|
10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
|||
|
|||||
|
11. |
Percent of Class
Represented by Amount in Row (9) |
|||
|
|||||
|
12. |
Type of Reporting Person
(See Instructions) |
|||
* The membership interests of Brentwood-Zumiez Investors, LLC are held by Brentwood Associates Private Equity III, L.P., Brentwood Associates Private Equity III-A, L.P., and BAPE III Executive Fund, L.P. (collectively, the Brentwood Funds). Brentwood Private Equity III, LLC is the general partner of each of the Brentwood Funds.
** Based on 13,627,989 shares of the Issuers Common Stock outstanding as of December 15, 2005
3
|
1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) |
|||
|
|||||
|
2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
|||
|
|
(a) |
o |
||
|
|
(b) |
o |
||
|
|||||
|
3. |
SEC Use Only |
|||
|
|||||
|
4. |
Citizenship or Place of
Organization |
|||
|
|
|
|||
Number of |
5. |
Sole Voting Power |
|||
|
|||||
6. |
Shared Voting Power |
||||
|
|||||
7. |
Sole Dispositive Power |
||||
|
|||||
8. |
Shared Dispositive Power |
||||
|
|||||
|
9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
|||
|
|||||
|
10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
|||
|
|||||
|
11. |
Percent of Class
Represented by Amount in Row (9) |
|||
|
|||||
|
12. |
Type of Reporting Person
(See Instructions) |
|||
* The membership interests of Brentwood-Zumiez Investors, LLC are held by Brentwood Associates Private Equity III, L.P., Brentwood Associates Private Equity III-A, L.P., and BAPE III Executive Fund, L.P. (collectively, the Brentwood Funds). Brentwood Private Equity III, LLC is the general partner of each of the Brentwood Funds.
** Based on 13,627,989 shares of the Issuers Common Stock outstanding as of December 15, 2005
4
|
1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) |
|||
|
|||||
|
2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
|||
|
|
(a) |
o |
||
|
|
(b) |
o |
||
|
|||||
|
3. |
SEC Use Only |
|||
|
|||||
|
4. |
Citizenship or Place of
Organization |
|||
|
|
|
|||
Number of |
5. |
Sole Voting Power |
|||
|
|||||
6. |
Shared Voting Power |
||||
|
|||||
7. |
Sole Dispositive Power |
||||
|
|||||
8. |
Shared Dispositive Power |
||||
|
|||||
|
9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
|||
|
|||||
|
10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
|||
|
|||||
|
11. |
Percent of Class
Represented by Amount in Row (9) |
|||
|
|||||
|
12. |
Type of Reporting Person
(See Instructions) |
|||
* The membership interests of Brentwood-Zumiez Investors, LLC are held by Brentwood Associates Private Equity III, L.P., Brentwood Associates Private Equity III-A, L.P., and BAPE III Executive Fund, L.P. (collectively, the Brentwood Funds). Brentwood Private Equity III, LLC is the general partner of each of the Brentwood Funds.
** Based on 13,627,989 shares of the Issuers Common Stock outstanding as of December 15, 2005
5
|
1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) |
|||
|
|||||
|
2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
|||
|
|
(a) |
o |
||
|
|
(b) |
o |
||
|
|||||
|
3. |
SEC Use Only |
|||
|
|||||
|
4. |
Citizenship or Place of
Organization |
|||
|
|
|
|||
Number of |
5. |
Sole Voting Power |
|||
|
|||||
6. |
Shared Voting Power |
||||
|
|||||
7. |
Sole Dispositive Power |
||||
|
|||||
8. |
Shared Dispositive Power |
||||
|
|||||
|
9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
|||
|
|||||
|
10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
|||
|
|||||
|
11. |
Percent of Class
Represented by Amount in Row (9) |
|||
|
|||||
|
12. |
Type of Reporting Person
(See Instructions) |
|||
* The membership interests of Brentwood-Zumiez Investors, LLC are held by Brentwood Associates Private Equity III, L.P., Brentwood Associates Private Equity III-A, L.P., and BAPE III Executive Fund, L.P. (collectively, the Brentwood Funds). Brentwood Private Equity III, LLC is the general partner of each of the Brentwood Funds.
** Based on 13,627,989 shares of the Issuers Common Stock outstanding as of December 15, 2005
6
|
1. |
Names of Reporting
Persons. I.R.S. Identification Nos. of above persons (entities only) |
|||
|
|||||
|
2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
|||
|
|
(a) |
o |
||
|
|
(b) |
o |
||
|
|||||
|
3. |
SEC Use Only |
|||
|
|||||
|
4. |
Citizenship or Place of
Organization |
|||
|
|
|
|||
Number of |
5. |
Sole Voting Power |
|||
|
|||||
6. |
Shared Voting Power |
||||
|
|||||
7. |
Sole Dispositive Power |
||||
|
|||||
8. |
Shared Dispositive Power |
||||
|
|||||
|
9. |
Aggregate Amount
Beneficially Owned by Each Reporting Person |
|||
|
|||||
|
10. |
Check if the Aggregate
Amount in Row (9) Excludes Certain Shares (See Instructions) o |
|||
|
|||||
|
11. |
Percent of Class
Represented by Amount in Row (9) |
|||
|
|||||
|
12. |
Type of Reporting Person
(See Instructions) |
|||
* William M. Barnum, Jr. holds 6,000 shares of the Issuers common stock. The membership interests of Brentwood-Zumiez Investors, LLC are held by Brentwood Associates Private Equity III, L.P., Brentwood Associates Private Equity III-A, L.P., and BAPE III Executive Fund, L.P. (collectively, Brentwood Funds). Brentwood Private Equity III, LLC is the general partner of each of the Brentwood Funds. Mr. Barnum is a managing member of Brentwood Private Equity III, LLC, and thus has voting power, investment power and dispositive power over 804,545 shares held by Brentwood-Zumiez Investors, LLC. Mr. Barnum disclaims beneficial ownership of the shares held or controlled by Brentwood-Zumiez Investors, LLC except to the extent of his pecuniary interest therein.
** Based on 13,627,989 shares of the Issuers Common Stock outstanding as of December 15, 2005
7
Item 1. |
|||
|
(a) |
Name of Issuer |
|
|
(b) |
Address of Issuers
Principal Executive Offices |
|
|
|||
Item 2. |
|||
|
(a) |
Name of Person Filing |
|
|
(b) |
Address of Principal
Business Office or, if none, Residence |
|
|
(c) |
Citizenship |
|
|
(d) |
Title of Class of
Securities |
|
|
(e) |
CUSIP Number |
|
|
|||
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) |
o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
|
(b) |
o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
|
(c) |
o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
|
(d) |
o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). |
|
(e) |
o |
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
|
(f) |
o |
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
|
(g) |
o |
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
|
(h) |
o |
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) |
o |
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) |
o |
Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
|
Not Applicable. |
8
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 responses to Item 9 on the attached cover pages. |
|
|
(b) |
Percent of class: See the responses to Item 11 on the attached cover pages. |
|
|
(c) |
Number of shares as to which the person has:
|
|
|
|
(i) |
Sole power to vote or to direct the vote See the responses to Item 5 on the attached cover pages. |
|
|
(ii) |
Shared power to vote or to direct the vote See the responses to Item 6 on the attached cover pages. |
|
|
(iii) |
Sole power to dispose or to direct the disposition of See the responses to Item 7 on the attached cover pages. |
|
|
(iv) |
Shared power to dispose or to direct the disposition of See the responses to Item 8 on the attached cover pages. |
|
|||
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 o. |
|||
|
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 Security 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. |
9
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.
|
Date: February 14, 2006 |
||||||||||
|
|
|
|||||||||
|
BRENTWOOD-ZUMIEZ INVESTORS, LLC |
||||||||||
|
|
|
|||||||||
|
By: |
Brentwood Associates Private Equity III, L.P. |
|||||||||
|
Its: |
Managing Member |
|||||||||
|
|
|
|||||||||
|
By |
/s/ William M. Barnum, Jr. |
|
||||||||
|
|
|
|||||||||
|
|
Name: William M. Barnum, Jr. |
|||||||||
|
|
Title: Managing Member of General Partner |
|||||||||
|
|
|
|||||||||
|
BRENTWOOD ASSOCIATES PRIVATE EQUITY III, L.P. |
||||||||||
|
|
|
|||||||||
|
By: |
Brentwood Private Equity III, LLC |
|||||||||
|
Its: |
General Partner |
|||||||||
|
|
|
|||||||||
|
By |
/s/ William M. Barnum, Jr. |
|
||||||||
|
|
Name: William M. Barnum, Jr. |
|||||||||
|
|
Title: Managing Member |
|||||||||
|
|
|
|||||||||
|
BRENTWOOD ASSOCIATES PRIVATE EQUITY III-A, L.P. |
||||||||||
|
|
|
|||||||||
|
By: |
Brentwood Private Equity III, LLC |
|||||||||
|
Its: |
General Partner |
|||||||||
|
|
|
|||||||||
|
By |
/s/ William M. Barnum, Jr. |
|
||||||||
|
|
Name: William M. Barnum, Jr. |
|||||||||
|
|
Title: Managing Member |
|||||||||
|
|
|
|||||||||
|
BAPE III EXECUTIVE FUND, L.P. |
||||||||||
|
|
|
|||||||||
|
By: |
Brentwood Private Equity III, LLC |
|||||||||
|
Its: |
General Partner |
|||||||||
|
|
|
|||||||||
|
By |
/s/ William M. Barnum, Jr. |
|
||||||||
|
|
Name: William M. Barnum, Jr. |
|||||||||
|
|
Title: Managing Member |
|||||||||
|
|
|
|||||||||
|
BRENTWOOD PRIVATE EQUITY III, LLC |
||||||||||
|
|
|
|||||||||
|
|
|
|||||||||
|
By |
/s/ William M. Barnum, Jr. |
|
||||||||
|
|
Name: William M. Barnum, Jr. |
|||||||||
|
|
Title: Managing Member |
|||||||||
|
|
|
|||||||||
|
WILLIAM M. BARNUM, JR. |
||||||||||
|
|
|
|||||||||
|
By |
/s/ William M. Barnum, Jr. |
|
||||||||
|
|
William M. Barnum, Jr. |
|||||||||
10
JOINT FILING AGREEMENT
We, the signatories of the statement to which this Joint Filing Agreement is attached, hereby agree that such statement is filed, and any amendments thereto filed by any or all of us will be filed, on behalf of each of us.
DATED: February 14, 2006 |
|||||
|
Date: February 14, 2006 |
||||
|
|
||||
|
BRENTWOOD-ZUMIEZ INVESTORS, LLC |
||||
|
|
|
|||
|
By: |
Brentwood Associates Private Equity III, L.P. |
|||
|
Its: |
Managing Member |
|||
|
|
|
|||
|
By |
/s/ William M. Barnum, Jr. |
|
||
|
|
|
|||
|
|
Name: William M. Barnum, Jr. |
|||
|
|
Title: Managing Member of General Partner |
|||
|
|
|
|||
|
BRENTWOOD ASSOCIATES PRIVATE EQUITY III, L.P. |
||||
|
|
|
|||
|
By: |
Brentwood Private Equity III, LLC |
|||
|
Its: |
General Partner |
|||
|
|
|
|||
|
By |
/s/ William M. Barnum, Jr. |
|
||
|
|
Name: William M. Barnum, Jr. |
|||
|
|
Title: Managing Member |
|||
|
|
|
|||
|
BRENTWOOD ASSOCIATES PRIVATE EQUITY III-A, L.P. |
||||
|
|
|
|||
|
By: |
Brentwood Private Equity III, LLC |
|||
|
Its: |
General Partner |
|||
|
|
|
|||
|
By |
/s/ William M. Barnum, Jr. |
|
||
|
|
Name: William M. Barnum, Jr. |
|||
|
|
Title: Managing Member |
|||
|
|
|
|||
|
BAPE III EXECUTIVE FUND, L.P. |
||||
|
|
|
|||
|
By: |
Brentwood Private Equity III, LLC |
|||
|
Its: |
General Partner |
|||
|
|
|
|||
|
By |
/s/ William M. Barnum, Jr. |
|
||
|
|
Name: William M. Barnum, Jr. |
|||
|
|
Title: Managing Member |
|||
|
|
|
|||
|
BRENTWOOD PRIVATE EQUITY III, LLC |
||||
|
|
||||
|
|
|
|||
|
By |
/s/ William M. Barnum, Jr. |
|
||
|
|
Name: William M. Barnum, Jr. |
|||
|
|
Title: Managing Member |
|||
|
|
|
|||
|
WILLIAM M. BARNUM, JR. |
||||
|
|
|
|||
|
By |
/s/ William M. Barnum, Jr. |
|
||
|
|
William M. Barnum, Jr. |
|||
11