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LEVI STRAUSS & CO — Director's Dealing 2021
Nov 10, 2021
30653_dirs_2021-11-10_dae374af-3ba8-4b56-8b83-8bb2f7aec7e5.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: LEVI STRAUSS & CO (LEVI)
CIK: 0000094845
Period of Report: 2021-11-08
Reporting Person: Ellison Seth M. (EVP & Chief Commercial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-08 | Class A Common Stock | D | 12099 | $27.00 | Disposed | 41596 | Direct |
| 2021-11-09 | Class A Common Stock | C | 27783 | $0.00 | Acquired | 69379 | Direct |
| 2021-11-09 | Class A Common Stock | S | 29390 | $27.02 | Disposed | 39989 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-08 | Stock Appreciation Rights | $6.90 | M | 19961 | Disposed | 2024-02-01 | Class B Common Stock (19961) | Direct |
| 2021-11-08 | Class B Common Stock | $ | M | 19961 | Acquired | Class A Common Stock (19961) | Direct | |
| 2021-11-08 | Class B Common Stock | $ | D | 12948 | Disposed | Class A Common Stock (12948) | Direct | |
| 2021-11-08 | Stock Appreciation Rights | $9.60 | M | 43035 | Disposed | 2025-01-30 | Class B Common Stock (43035) | Direct |
| 2021-11-08 | Class B Common Stock | $ | M | 43035 | Acquired | Class A Common Stock (43035) | Direct | |
| 2021-11-08 | Class B Common Stock | $ | D | 29951 | Disposed | Class A Common Stock (29951) | Direct | |
| 2021-11-08 | Stock Appreciation Rights | $14.875 | M | 36340 | Disposed | Class B Common Stock (36340) | Direct | |
| 2021-11-08 | Class B Common Stock | $ | M | 36340 | Acquired | 2029-01-29 | Class A Common Stock (36340) | Direct |
| 2021-11-08 | Class B Common Stock | $ | D | 28654 | Disposed | Class A Common Stock (28654) | Direct | |
| 2021-11-09 | Class B Common Stock | $ | C | 27783 | Disposed | Class A Common Stock (27783) | Direct |
Footnotes
F1: Transaction pursuant to a previously established Rule 10b5-1 Plan.
F2: Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person.
F3: The original grant was for 147,240 SARs, of which 36,810 SARs were exercised. 25% of the SARs vested on February 1, 2018, and 1/3 of the remaining SARs vest annually beginning on February 1, 2019.
F4: 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.
F5: 25% of the SARs vested on January 30, 2019, and 1/3 of the remaining SARs vest annually beginning on January 30, 2020.
F6: 25% of the SARs vest on January 30, 2020, and 1/3 of the remaining SARs vest annually beginning on January 30, 2021.