Annual Statement of Changes in Beneficial Ownership (5)
January 13 2021 - 2:19PM
Edgar (US Regulatory)
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ]
Form 3 Holdings Reported
[ ]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden hours per response...
1.0
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Haas Robert D. | 2. Issuer Name and Ticker or Trading SymbolLEVI STRAUSS & CO [LEVI] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O ARGONAUT SECURITIES COMPANY, 1155 BATTERY STREET | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 11/29/2020 |
(Street)
SAN FRANCISCO, CA 94111
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Class B Common Stock | $0 | 9/29/2020 | | J (1) | | 1931720 | (7) | (7) | Class A Common Stock | | $0 | 5648826 | I | By grantor retained annuity trusts |
Class B Common Stock | $0 | 9/29/2020 | | J (1) | 1931720 | | (7) | (7) | Class A Common Stock | | $0 | 247760 | D | |
Class B Common Stock | $0 | 9/29/2020 | | J (3) | | 495583 | (7) | (7) | Class A Common Stock | | $0 | 5648826 | I | By grantor retained annuity trusts |
Class B Common Stock | $0 | 9/29/2020 | | J (3) | 495583 | | (7) | (7) | Class A Common Stock | | $0 | 23179324 | I | See footnote (3) |
Class B Common Stock | $0 | 9/29/2020 | | J (4) | | 1931720 | (7) | (7) | Class A Common Stock | | $0 | 247760 | D | |
Class B Common Stock | $0 | 9/29/2020 | | J (4) | 1931720 | | (7) | (7) | Class A Common Stock | | $0 | 5648826 | I | To grantor retained annuity trusts |
Class B Common Stock | $0 | 9/29/2020 | | J (2) | | 1366337 | (7) | (7) | Class A Common Stock | | $0 | 4099541 | I | By grantor retained annuity trusts of spouse |
Class B Common Stock | $0 | 9/29/2020 | | J (2) | 1366337 | | (7) | (7) | Class A Common Stock | | $0 | 276480 | I | To spouse (6) |
Class B Common Stock | $0 | 9/29/2020 | | J (3) | | 359851 | (7) | (7) | Class A Common Stock | | $0 | 4099541 | I | By grantor retained annuity trusts of spouse |
Class B Common Stock | $0 | 9/29/2020 | | J (3) | 359851 | | (7) | (7) | Class A Common Stock | | $0 | 6108189 | I | See footnote (3) |
Class B Common Stock | $0 | 9/29/2020 | | J (5) | | 1366337 | (7) | (7) | Class A Common Stock | | $0 | 276480 | I | By spouse (6) |
Class B Common Stock | $0 | 9/29/2020 | | J (5) | 1366337 | | (7) | (7) | Class A Common Stock | | $0 | 4099541 | I | To grantor retained annuity trusts of spouse |
Explanation of Responses: |
(1) | On the Transaction Date, one or more grantor retained annuity trusts for the benefit of the reporting person and the remainder beneficiaries distributed shares of Class B Common Stock to the reporting person. |
(2) | On the Transaction Date, one or more grantor retained annuity trusts for the benefit of the spouse of the reporting person and the remainder beneficiaries distributed shares of Class B Common Stock to the spouse of the reporting person. Mr. Haas disclaims beneficial ownership of these shares. |
(3) | Transfers to trusts for the benefit of the reporting person's descendants that have been established by either Mr. Haas or his spouse. Mr. Haas disclaims beneficial ownership of these shares. |
(4) | On the Transaction Date, the reporting person distributed shares of Class B Common Stock to one or more grantor retained annuity trusts for the benefit of himself and the remainder beneficiaries. |
(5) | On the Transaction Date, the reporting person's spouse distributed shares of Class B Common Stock to one or more grantor retained annuity trusts for the benefit of herself and the remainder beneficiaries. Mr. Haas disclaims beneficial ownership of these shares. |
(6) | Mr. Haas disclaims beneficial ownership of these shares. |
(7) | 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. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Haas Robert D. C/O ARGONAUT SECURITIES COMPANY 1155 BATTERY STREET SAN FRANCISCO, CA 94111 |
| X |
|
|
Signatures
|
/s/ Parker Phillips, attorney-in-fact | | 1/13/2021 |
**Signature of Reporting Person | Date |
Levi Strauss (NYSE:LEVI)
Historical Stock Chart
From Aug 2024 to Sep 2024
Levi Strauss (NYSE:LEVI)
Historical Stock Chart
From Sep 2023 to Sep 2024