LEVI STRAUSS & CO — Director's Dealing 2020

Dec 8, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: LEVI STRAUSS & CO (LEVI)
CIK: 0000094845
Period of Report: 2020-12-04

Reporting Person: Rosen Marc (EVP & Pres. Direct-to-Customer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-12-04	Class A Common Stock	C	58621	$0.00	Acquired	136123	Direct
2020-12-07	Class A Common Stock	S	60941	$19.45	Disposed	75182	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-12-04	Stock Appreciation Rights	$7.43	M	26100	Disposed	2022-02-04	Class B Common Stock (26100)	Direct
2020-12-04	Class B Common Stock	$	M	26100	Acquired		Class A Common Stock (26100)	Direct
2020-12-04	Stock Appreciation Rights	$6.10	M	82830	Disposed	2023-02-09	Class B Common Stock (82830)	Direct
2020-12-04	Class B Common Stock	$	M	82830	Acquired		Class A Common Stock (82830)	Direct
2020-12-04	Stock Appreciation Rights	$6.90	M	42620	Disposed	2024-02-01	Class B Common Stock (42620)	Direct
2020-12-04	Class B Common Stock	$	M	42620	Acquired		Class A Common Stock (42620)	Direct
2020-12-04	Stock Appreciation Rights	$9.60	M	28690	Disposed	2025-01-20	Class B Common Stock (28690)	Direct
2020-12-04	Class B Common Stock	$	M	28690	Acquired		Class A Common Stock (28690)	Direct
2020-12-04	Class B Common Stock	$	D	121619	Disposed		Class A Common Stock (121619)	Direct
2020-12-04	Class B Common Stock	$	C	58621	Disposed		Class A Common Stock (58621)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class A Common Stock	28350	Indirect

Footnotes

F1: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan.

F2: Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person.

F3: Price represents the weighted average sale price of the shares sold. The sale price ranged from $19.30 to $19.61 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

F4: The shares are held by the Rosen Family Trust, of which the Reporting Person is a co-trustee.

F5: 100% of these stock appreciation rights (SARs) are fully vested.

F6: 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.

F7: 100% of these stock appreciation rights are fully vested.

F8: 25% of the SARs vested on February 1, 2018, and 1/3 of the remaining SARs vest annually beginning on February 1, 2019.

F9: 25% of the SARs vested on January 30, 2019, and 1/3 of the remaining SARs vest annually beginning on January 30, 2020.