FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or
Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
(Check all applicable) |
Haas Walter J | LEVI STRAUSS & CO [ LEVI ] | _____ Director | __X__ 10% Owner | ||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | ||
_____ Officer (give title below) | _____ Other (specify below) | ||||
1155 BATTERY ST., C/O ARGONAUT | 11/20/2019 | |||||||||||||||||||||||||
SECURITIES CO. | ||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | ||||||||||||||||||||||||
SAN FRANCISCO, CA 94111 | ___ Form filed by One Reporting Person | |||||||||||||||||||||||||
(City) | (State) | (Zip) | _ X _ Form filed by More than One Reporting Person | |||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) or | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | |||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||||||||||||||||||
Direct (D) | Ownership | |||||||||||||||||||||||||
or Indirect | (Instr. 4) | |||||||||||||||||||||||||
(A) or | (I) (Instr. | |||||||||||||||||||||||||
Code | V | Amount | (D) | Price | 4) | |||||||||||||||||||||
Class A Common Stock | 11/20/2019 | S(1) | 73845 | D | $16.5288 (3) | 0 | D | |||||||||||||||||||
Class A Common Stock | 11/20/2019 | C(2) | 73845 | A | $0.00 | 73845 | D | |||||||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||
1. Title of Derivate | 2. | 3. Trans. | 3A. Deemed | 4. Trans. | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | |||||||||||||||
Security | Conversion | Date | Execution | Code | Derivative Securities | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | |||||||||||||||
(Instr. 3) | or Exercise | Date, if any | (Instr. 8) | Acquired (A) or | Derivative Security | Security | Securities | Form of | Beneficial | |||||||||||||||||
Price of | Disposed of (D) | (Instr. 3 and 4) | (Instr. 5) | Beneficially | Derivative | Ownership | ||||||||||||||||||||
Derivative | (Instr. 3, 4 and 5) | Owned | Security: | (Instr. 4) | ||||||||||||||||||||||
Security | Following | Direct (D) | ||||||||||||||||||||||||
Amount or | ||||||||||||||||||||||||||
Date | Expiration | Reported | or Indirect | |||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Number of | Transaction(s) | (I) (Instr. | |||||||||||||||||
Shares | (Instr. 4) | 4) | ||||||||||||||||||||||||
Class B Common | C(2) | Class A | $0.00 (2) | |||||||||||||||||||||||
11/20/2019 | 73845 | Common | 73845 | 970592 | D | |||||||||||||||||||||
Stock | ||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||
Explanation of Responses:
- Shares disposed of pursuant to a previously established Rule 10b5-1 plan.
- 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.
- The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $16.350 to $16.830 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Reporting Owners
Reporting Owner Name / Address | Relationships | ||
Director | 10% Owner | OfficerOther | |
Haas Walter J | |||
1155 BATTERY ST. | X | ||
C/O ARGONAUT SECURITIES CO. | |||
SAN FRANCISCO, CA 94111 | |||
Walter J. Haas 2019 Trust 1A | |||
1155 BATTERY ST. | X | ||
C/O ARGONAUT SECURITIES CO. | |||
SAN FRANCISCO, CA 94111 | |||
Signatures | |||
/s/ Parker B. Phillips, Attorney in-fact | 11/20/2019 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
- If the form is filed by more than one reporting person, see Instruction 4(b)(v).
- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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POWER OF ATTORNEY
Know all by these presents that the undersigned hereby constitutes and appoints Jesse B. Debban, signing singly, as the undersigned's true and lawful attorney-in-fact, and Parker B. Phillips, signing singly, as the undersigned's agent to:
- execute for and on behalf of the undersigned, in the undersigned's capacity as an officer or director or 10% beneficial owner of Levi Strauss & Co. (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder;
- do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority; and
- take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.
The undersigned hereby grants to such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.
The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 18th day of October, 2019.
/s/ Walter J. Haas
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Walter J. Haas
/s/ Walter J. Haas
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Walter J. Haas, Trustee Walter J. Haas 2019 Trust 1A
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Levi Strauss & Co. published this content on 21 November 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 22 November 2019 00:46:04 UTC