Ellison Seth M.'s Form 4 filing
Levi Strauss & Co (LEVI) · filed Nov 15, 2022
- Accession no.
- 0001209191-22-056986
- Filed
- Nov 15, 2022
- Trade date
- Nov 10-14, 2022
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 21 derivative transactions. Open-market sales total $195.5K. It was filed 5 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Ellison Seth M.CIK 0001768700 | Officer (EVP & Chief Commercial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2022 | Class A Common Stock | CConversionAcquired | +4,100 | $0.00 | $0 | 94,046 | Direct | |
| Nov 10, 2022 | Class A Common Stock | SSaleDisposed | −4,100 | $15.11F3 | −$61,951 | 89,946 | Direct | |
| Nov 11, 2022 | Class A Common Stock | CConversionAcquired | +4,167 | $0.00 | $0 | 94,113 | Direct | |
| Nov 11, 2022 | Class A Common Stock | SSaleDisposed | −4,167 | $15.47F4 | −$64,463.49 | 89,946 | Direct | |
| Nov 14, 2022 | Class A Common Stock | CConversionAcquired | +4,277 | $0.00 | $0 | 94,223 | Direct | |
| Nov 14, 2022 | Class A Common Stock | SSaleDisposed | −4,277 | $16.16F5 | −$69,116.32 | 89,946 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2022 | Class B Common Stock | MOption exerciseDisposed | −4,500 | $0.00 | $0 | 30,754 | Direct | |
| Nov 10, 2022 | Class A Common Stock | MOption exerciseAcquired | +4,500 | $6.90 | +$31,050 | 4,500 | Direct | |
| Nov 10, 2022 | Class A Common Stock | DReturned to the companyDisposed | −3,349 | $15.15 | −$50,737.35 | 1,151 | Direct | |
| Nov 10, 2022 | Class B Common Stock | MOption exerciseDisposed | −10,500 | $0.00 | $0 | 69,415 | Direct | |
| Nov 10, 2022 | Class A Common Stock | MOption exerciseAcquired | +10,500 | $6.10 | +$64,050 | 11,651 | Direct | |
| Nov 10, 2022 | Class A Common Stock | DReturned to the companyDisposed | −7,551 | $15.15 | −$114,397.65 | 4,100 | Direct | |
| Nov 10, 2022 | Class A Common Stock | CConversionDisposed | −4,100 | $0.00 | $0 | 0 | Direct | |
| Nov 11, 2022 | Class B Common Stock | MOption exerciseDisposed | −4,500 | $0.00 | $0 | 26,254 | Direct | |
| Nov 11, 2022 | Class A Common Stock | MOption exerciseAcquired | +4,500 | $6.90 | +$31,050 | 4,500 | Direct | |
| Nov 11, 2022 | Class A Common Stock | DReturned to the companyDisposed | −3,327 | $15.50 | −$51,568.5 | 1,173 | Direct | |
| Nov 11, 2022 | Class B Common Stock | MOption exerciseDisposed | −10,500 | $0.00 | $0 | 58,915 | Direct | |
| Nov 11, 2022 | Class A Common Stock | MOption exerciseAcquired | +10,500 | $6.10 | +$64,050 | 11,673 | Direct | |
| Nov 11, 2022 | Class A Common Stock | DReturned to the companyDisposed | −7,506 | $15.50 | −$116,343 | 4,167 | Direct | |
| Nov 11, 2022 | Class A Common Stock | CConversionDisposed | −4,167 | $0.00 | $0 | 0 | Direct | |
| Nov 14, 2022 | Class B Common Stock | MOption exerciseDisposed | −4,500 | $0.00 | $0 | 21,754 | Direct | |
| Nov 14, 2022 | Class A Common Stock | MOption exerciseAcquired | +4,500 | $6.90 | +$31,050 | 4,500 | Direct | |
| Nov 14, 2022 | Class A Common Stock | DReturned to the companyDisposed | −3,291 | $16.10 | −$52,985.1 | 1,209 | Direct | |
| Nov 14, 2022 | Class B Common Stock | MOption exerciseDisposed | −10,500 | $0.00 | $0 | 48,415 | Direct | |
| Nov 14, 2022 | Class A Common Stock | MOption exerciseAcquired | +10,500 | $6.10 | +$64,050 | 11,709 | Direct | |
| Nov 14, 2022 | Class A Common Stock | DReturned to the companyDisposed | −7,432 | $16.10 | −$119,655.2 | 4,277 | Direct | |
| Nov 14, 2022 | Class A Common Stock | CConversionDisposed | −4,277 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.104 to $15.15. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
Referenced by the price of 1 transaction in Table I.
- F4
The price in Column 4 is a weighted average sale price. The prices actually received ranged from $15.46 to $15.495. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
Referenced by the price of 1 transaction in Table I.
- F5
The price in Column 4 is a weighted average sale price. The prices actually received ranged from $16.14 to $16.18. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
Referenced by the price of 1 transaction in Table I.