Haas Robert D. Form 4 LEVI STRAUSS & CO / Robert D. Haas ownership change

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Haas Robert D.

(Last)

(First)

(Middle)

C/O ARGONAUT SECURITIES COMPANY

1155 BATTERY STREET

(Street)

SAN FRANCISCO

94111

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
LEVI 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)

3. Date of Earliest Transaction (Month/Day/Year)
11/13/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

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. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock	11/13/2020		C⁽¹⁾		54,582	A	$0.00	54,582	I	By grantor retained annuity trusts
Class A Common Stock	11/13/2020		S⁽²⁾		54,582	D	$17.1103⁽³⁾	0	I	By grantor retained annuity trusts
Class A Common Stock	11/16/2020		C⁽¹⁾		150,150	A	$0.00	150,150	I	By grantor retained annuity trusts
Class A Common Stock	11/16/2020		S⁽²⁾		150,150	D	$17.6544⁽⁴⁾	0	I	By grantor retained annuity trusts
Class A Common Stock	11/17/2020		C⁽¹⁾		147,074	A	$0.00	147,074	I	By grantor retained annuity trusts
Class A Common Stock	11/17/2020		S⁽²⁾		147,074	D	$18.0557⁽⁵⁾	0	I	By grantor retained annuity trusts

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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 Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Class B Common Stock	$0.00	11/13/2020		C⁽¹⁾			54,582	⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾	$0.00	4,909,797	I	By grantor retained annuity trusts
Class B Common Stock	$0.00							⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾		4,128,261	I	By spouse
Class B Common Stock	$0.00							⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾		29,287,513	I	See footnote⁽⁷⁾
Class B Common Stock	$0.00							⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾		247,760	D
Class B Common Stock	$0.00	11/16/2020		C⁽¹⁾			150,150	⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾	$0.00	4,759,647	I	By grantor retained annuity trusts
Class B Common Stock	$0.00							⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾		4,128,261	I	By spouse
Class B Common Stock	$0.00							⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾		29,287,513	I	See footnote⁽⁷⁾
Class B Common Stock	$0.00							⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾		247,760	D
Class B Common Stock	$0.00	11/17/2020		C⁽¹⁾			147,074	⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾	$0.00	4,612,573	I	By grantor retained annuity trusts
Class B Common Stock	$0.00							⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾		4,128,261	I	By spouse
Class B Common Stock	$0.00							⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾		29,287,513	I	See footnote⁽⁷⁾
Class B Common Stock	$0.00							⁽⁶⁾	⁽⁶⁾	Class A Common stock	⁽⁶⁾		247,760	D

Explanation of Responses:

1. Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the reporting person.

2. Shares disposed of pursuant to a previously established Rule 10b5-1 plan.

3. Price represents the weighted average sale price of the shares sold on November 13, 2020. The sale price ranged from $17.00 to $17.25 per share. Upon request by the staff of the Securities and Exchange Commission, 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 footnote.

4. Price represents the weighted average sale price of the shares sold on November 16, 2020. The sale price ranged from $17.325 to $17.795 per share. Upon request by the staff of the Securities and Exchange Commission, 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 footnote.

5. Price represents the weighted average sale price of the shares sold on November 17, 2020. The sale price ranged from $17.53 to $18.225 per share. Upon request by the staff of the Securities and Exchange Commission, 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 footnote.

6. 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.

7. Held by trusts for the benefit of the reporting person's descendants. Mr. Haas disclaims beneficial ownership of these shares.

	/s/ Parker B. Phillips, attorney-in-fact	11/17/2020
	** 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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Haas Robert D. Form 4LEVI STRAUSS & CO / Robert D. Haas ownership change