Friedman David A 的 Form 4/A 修正申報

修正

Levi Strauss & Co（LEVI），2023/4/21 申報

申報編號: 0001209191-23-025245
申報時間: 2023/4/21
交易日: 2019/3/25
申報延遲: 1,488 天
10b5-1 計畫: 沒有勾選
原始申報日: 2019/3/27

SEC EDGAR 原文（在新分頁開啟）

這份申報列了 5 筆非衍生性交易、4 筆衍生性交易。公開市場賣出合計 $255.0 萬。交易後 1488 天申報。

申報人

一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。

這份申報的申報人
申報人	與公司的關係
Friedman David ACIK 0001768697	董事

非衍生性證券（表 I）

普通股等股票的取得與處分，每一列是申報上的一筆。

非衍生性證券的交易
交易日	證券	交易	股數	價格	金額	交易後持股	持有方式
2019/3/25	Common Stock	J其他處分	−8,580	$0.00	$0	0	直接
2019/3/25	Common Stock	J其他處分	−2,377,540	$0.00	$0	0	間接
2019/3/25	Common Stock	J其他處分	−1,464,540	$0.00	$0	0	間接
2019/3/25	Class A Common Stock	C轉換取得	+150,000	$0.00	$0	150,000	間接
2019/3/25	Class A Common Stock	S賣出處分	−150,000	$17.00	−$2,550,000	0	間接

衍生性證券（表 II）

選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。

衍生性證券的交易
交易日	證券	交易	標的股數	單價	金額	交易後持有	持有方式
2019/3/25	Class A Common Stock	J其他取得	+8,580	$0.00	$0	8,580	直接
2019/3/25	Class A Common Stock	J其他取得	+2,377,540	$0.00	$0	2,377,540	間接
2019/3/25	Class A Common Stock	J其他取得	+1,464,540	$0.00	$0	1,464,540	間接
2019/3/25	Class A Common Stock	C轉換處分	−150,000	$0.00	$0	2,227,540	間接

附註與備註

本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。

F1: Immediately prior to the closing of the Issuer's initial public offering of Class A Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-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.
F2: This Form 4/A is being filed to correct the disclosure relating to such RSUs (the "Class B RSUs") set forth in the Form 4 filed on March 27, 2019 (the "Original Form 4"), which were inadvertently disclosed in Table I instead of Table II in the Original Form 4. DERs issued with regard to the Class B RSUs after the date of the Original Form 4 were also incorrectly reported on Table I instead of Table II, as a result of the initial misclassification.
F3: Each share is represented by a restricted stock unit (RSU) that may be settled in shares of Class B Common Stock, including RSUs previously issued in the form of dividend equivalent rights (DERs). Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement. The RSUs vest in a series of three equal installments on the dates that are 13, 24 and 36 months following the date of grant. Certain of such RSUs are subject to a deferral delivery feature.
F4: The shares are held by the David A. Friedman 1993 Revocable Trust, of which the Reporting Person is trustee.
F5: The shares are held by trusts, of which Mr. Friedman is co-trustee, for the benefit of others. Mr. Friedman disclaims beneficial ownership of these shares.
F6: Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the David A. Friedman 1993 Revocable Trust.

看 SEC EDGAR 上的完整原文（在新分頁開啟）