0001209191-19-060210.txt : 20191212 0001209191-19-060210.hdr.sgml : 20191212 20191212161813 ACCESSION NUMBER: 0001209191-19-060210 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191210 FILED AS OF DATE: 20191212 DATE AS OF CHANGE: 20191212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ellison Seth M. CENTRAL INDEX KEY: 0001768700 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06631 FILM NUMBER: 191282030 MAIL ADDRESS: STREET 1: C/O LEVI STRAUSS & CO. STREET 2: 1155 BATTERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LEVI STRAUSS & CO CENTRAL INDEX KEY: 0000094845 STANDARD INDUSTRIAL CLASSIFICATION: APPAREL & OTHER FINISHED PRODS OF FABRICS & SIMILAR MATERIAL [2300] IRS NUMBER: 940905160 STATE OF INCORPORATION: DE FISCAL YEAR END: 1125 BUSINESS ADDRESS: STREET 1: 1155 BATTERY ST CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4155016000 MAIL ADDRESS: STREET 1: 1155 BATTERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94111 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-12-10 0 0000094845 LEVI STRAUSS & CO LEVI 0001768700 Ellison Seth M. C/O LEVI STRAUSS & CO. 1155 BATTERY STREET SAN FRANCISCO CA 94111 0 1 0 0 EVP & President, Europe Class A Common Stock 2019-12-11 4 C 0 8020 0.00 A 86180 D Class A Common Stock 2019-12-11 4 S 0 8020 17.97 D 78160 D Stock Appreciation Rights 7.425 2019-12-10 4 M 0 8210 0.00 D 2022-02-04 Class B Common Stock 8210 0 D Class B Common Stock 2019-12-10 4 M 0 8210 7.425 A Class A Common Stock 8210 8210 D Class B Common Stock 2019-12-10 4 D 0 5781 17.97 D Class A Common Stock 5781 2429 D Stock Appreciation Rights 6.10 2019-12-10 4 M 0 16790 0.00 D 2023-02-09 Class B Common Stock 16790 322220 D Class B Common Stock 2019-12-10 4 M 0 16790 6.10 A Class A Common Stock 16790 16790 D Class B Common Stock 2019-12-10 4 D 0 11199 17.97 D Class A Common Stock 11199 5591 D Class B Common Stock 2019-12-11 4 C 0 8020 0.00 D Class A Common Stock 8020 0 D Transaction pursuant to a previously established Rule 10b5-1 Plan. Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person. The price in Column 4 is a weighted average sale price. The prices actually received ranged from $17.87 to $18.03. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. 100% of these SARs are fully vested. 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. Of these SARs: (i) 229,830 are performance stock appreciation rights (PSARs) that vested on January 30, 2019 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors, and are immediately exercisable; and (ii) 92,390 are time-based SARs from an original grant of 275,800 SARs, of which 183,410 have been exercised, that vested as to 25% of the SARs on February 9, 2017, with the remainder vesting in 36 equal monthly installments thereafter. /s/ Cynthia Lee, Attorney-in-Fact 2019-12-12