Form 4 for LEVI LEVI STRAUSS & CO
Accepted 2021-11-10 00:00:00 ET · period of report 2021-11-08 · accession 0001209191-21-064013 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-10 | 2021-11-08 | LEVI | Ellison Seth M. | EVP, Chief Commercial Off | D - Sale to Iss | $27.00 | -12.1K | 41.6K | -23% | -$326.7K |
| D | 2021-11-10 | 2021-11-09 | LEVI | Ellison Seth M. | EVP, Chief Commercial Off | S - Sale | $27.02 | -29.4K | 40.0K | -42% | -$794.1K |
| D | 2021-11-10 | 2021-11-09 | LEVI | Ellison Seth M. | EVP, Chief Commercial Off | C - Cnv Deriv | $0.00 | +27.8K | 69.4K | +67% | $0 |
| DM | 2021-11-10 | 2021-11-08 | LEVI | Ellison Seth M. | EVP, Chief Commercial Off | M - OptEx | $5.49 | 0 | 56.4K | New | $0 |
| DM | 2021-11-10 | 2021-11-08 | LEVI | Ellison Seth M. | EVP, Chief Commercial Off | D - Sale to Iss | $27.00 | -71.6K | 27.8K | -72% | -$1.93M |
| D | 2021-11-10 | 2021-11-09 | LEVI | Ellison Seth M. | EVP, Chief Commercial Off | C - Cnv Deriv | $0.00 | -27.8K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-11-08 | D | D | 12,099 | $27.00 | 41,596 | D | — | — | |
| 2 | Common | Class A Common Stock | 2021-11-09 | S | D | 29,390 | $27.02 | 39,989 | D | — | — | |
| 3 | Common | Class A Common Stock | 2021-11-09 | C | A | 27,783 | $0.00 | 69,379 | D | — | — | (F2) Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person. |
| 4 | Derivative | Class B Common Stock | 2021-11-08 | M | A | 43,035 | $9.60 | 50,048 | D | — · — to — | 43,035 Class A Common Stock | (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. |
| 5 | Derivative | Stock Appreciation Rights | 2021-11-08 | M | D | 36,340 | $0.00 | 36,330 | D | $14.88 · — to — | 36,340 Class B Common Stock | (F6) 25% of the SARs vest on January 30, 2020, and 1/3 of the remaining SARs vest annually beginning on January 30, 2021. (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. |
| 6 | Derivative | Class B Common Stock | 2021-11-08 | D | D | 12,948 | $27.00 | 7,013 | D | — · — to — | 12,948 Class A Common Stock | (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. |
| 7 | Derivative | Class B Common Stock | 2021-11-08 | M | A | 19,961 | $6.90 | 19,961 | D | — · — to — | 19,961 Class A Common Stock | (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. |
| 8 | Derivative | Stock Appreciation Rights | 2021-11-08 | M | D | 19,961 | $0.00 | 35,254 | D | $6.90 · — to 2024-02-01 | 19,961 Class B Common Stock | (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. |
| 9 | Derivative | Class B Common Stock | 2021-11-08 | D | D | 29,951 | $27.00 | 20,097 | D | — · — to — | 29,951 Class A Common Stock | (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. |
| 10 | Derivative | Stock Appreciation Rights | 2021-11-08 | M | D | 43,035 | $0.00 | 28,690 | D | $9.60 · — to 2025-01-30 | 43,035 Class B Common Stock | (F5) 25% of the SARs vested on January 30, 2019, and 1/3 of the remaining SARs vest annually beginning on January 30, 2020. |
| 11 | Derivative | Class B Common Stock | 2021-11-09 | C | D | 27,783 | $0.00 | 0 | D | — · — to — | 27,783 Class A Common Stock | (F2) Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person. (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. |
| 12 | Derivative | Class B Common Stock | 2021-11-08 | D | D | 28,654 | $27.00 | 27,783 | D | — · — to — | 28,654 Class A Common Stock | (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. |
| 13 | Derivative | Class B Common Stock | 2021-11-08 | M | A | 36,340 | $14.88 | 56,437 | D | — · — to 2029-01-29 | 36,340 Class A Common Stock | (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. |