0001209191-20-004725.txt : 20200123 0001209191-20-004725.hdr.sgml : 20200123 20200123183639 ACCESSION NUMBER: 0001209191-20-004725 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200121 FILED AS OF DATE: 20200123 DATE AS OF CHANGE: 20200123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bagattini Roy CENTRAL INDEX KEY: 0001768720 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06631 FILM NUMBER: 20543334 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 2020-01-21 0 0000094845 LEVI STRAUSS & CO LEVI 0001768720 Bagattini Roy C/O LEVI STRAUSS & CO. 1155 BATTERY STREET SAN FRANCISCO CA 94111 0 1 0 0 EVP & President, Americas Class A Common Stock 2020-01-22 4 C 0 54037 0.00 A 133457 D Class A Common Stock 2020-01-22 4 S 0 2300 20.0004 D 131157 D Class A Common Stock 2020-01-23 4 S 0 51737 20.0155 D 79420 D Stock Appreciation Rights 7.425 2020-01-21 4 M 0 8130 0.00 D 2022-02-04 Class B Common Stock 8130 0 D Class B Common Stock 2020-01-21 4 M 0 8130 7.425 A Class A Common Stock 8130 8130 D Class B Common Stock 2020-01-21 4 D 0 4997 20.00 D Class A Common Stock 4997 3133 D Stock Appreciation Rights 6.10 2020-01-21 4 M 0 41870 0.00 D 2023-02-09 Class B Common Stock 41870 285640 D Class B Common Stock 2020-01-21 4 M 0 41870 6.10 A Class A Common Stock 41870 45003 D Class B Common Stock 2020-01-21 4 D 0 23030 20.00 D Class A Common Stock 23030 21973 D Stock Appreciation Rights 6.85 2020-01-21 4 M 0 75000 0.00 D 2023-07-13 Class B Common Stock 75000 769480 D Class B Common Stock 2020-01-21 4 M 0 75000 6.85 A Class A Common Stock 75000 96973 D Class B Common Stock 2020-01-21 4 D 0 42936 20.00 D Class A Common Stock 42936 54037 D Class B Common Stock 2020-01-22 4 C 0 54037 0.00 D Class A Common Stock 54037 0 D The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan. Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person. Price represents the weighted average sale price of the shares sold. The sale price ranged from $20.00 to $20.01 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. Price represents the weighted average sale price of the shares sold. The sale price ranged from $20.00 to $20.08 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. 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) 55,810 are time-based SARs from an original grant of 275,800 SARs, of which 219,990 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. Of these SARs: (i) 544,820 are PSARs that vested on January 30, 2018 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, of which 75,000 have been exercised; and (ii) 299,660 from an original grant of 653,790 SARs, of which 354,130 have been exercised, are time-based SARs that vested as to 25% of the SARs on July 13, 2017, with the remainder vesting in 36 equal monthly installments thereafter. /s/ Cynthia Lee, Attorney-in-Fact 2020-01-23