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) |
Eisenhardt Elizabeth H | 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 | 12/4/2019 | |||||||||||||||||||||||||
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 | _X _ Form filed by One Reporting Person | |||||||||||||||||||||||||
(City) | (State) | (Zip) | ___ 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 | 12/5/2019 | S(1) | 35688 | D | $17.1771 (2) | 0 | D | |||||||||||||||||||
Class A Common Stock | 12/5/2019 | C(3) | 35688 | A | $0.00 | 35688 | D | |||||||||||||||||||
Class A Common Stock | 12/4/2019 | S(1) | 22465 | D | $17.0377 (4) | 0 | D | |||||||||||||||||||
Class A Common Stock | 12/4/2019 | C(3) | 22465 | A | $0.00 | 22465 | 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(3) | Class A | $0.00 (3) | |||||||||||||||||||||||
12/5/2019 | 35688 | Common | 35688 | 1472230 | D | |||||||||||||||||||||
Stock | ||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||
Class B Common | C(3) | Class A | $0.00 (3) | |||||||||||||||||||||||
12/4/2019 | 22465 | Common | 22465 | 1507918 | D | |||||||||||||||||||||
Stock | ||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||
Explanation of Responses:
- Shares disposed of pursuant to a previously established Rule 10b5-1 plan.
- The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $17.060 to $17.355 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.
- 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 $17.000 to $17.090 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 | |
Eisenhardt Elizabeth H
1155 BATTERY ST.X C/O ARGONAUT SECURITIES CO.
SAN FRANCISCO, CA 94111
Signatures | ||
/S/ Parker B. Phillips, Attorney in-fact | 12/5/2019 | |
**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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Disclaimer
Levi Strauss & Co. published this content on 05 December 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 06 December 2019 00:00:02 UTC