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LEVI

LEVI STRAUSS & CO

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3651
SEC CIK
0000094845
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1,100

Last 12 months

Inside the activity.

0 purchase rows · 21 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202601
Feb 202602
Mar 202600
Apr 202602
May 202608
Jun 202606
Jul 202601
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 27, 2020 Filed Jan 30, 2020 02:02 UTC
Ellison Seth M.EVP & President, Europe
GrantStock Appreciation Rights · Derivative 54,824 $0.00 Strike: $20.25 $0.00
Disclosure

SEC source: 0001209191-20-005456 · doc4.xml · derivative · entry 2

Ellison Seth M. · CIK 0001768700 · EVP & President, Europe

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,824

Underlying: Class A Common Stock · 54,824 shares

Expires 2030-01-27

F2 · derivative.exercise_date: The stock appreciation rights vest in four equal annual installments measured from January 27, 2020.

Read SEC document
January 27, 2020 Filed Jan 30, 2020 02:02 UTC
Ellison Seth M.EVP & President, Europe
GrantClass A Common Stock 18,518 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-005456 · doc4.xml · nonDerivative · entry 1

Ellison Seth M. · CIK 0001768700 · EVP & President, Europe

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,634

F1 · shares: The shares are represented by restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. The RSUs vest in four equal annual installments measured from January 27, 2020.

Read SEC document
January 27, 2020 Filed Jan 30, 2020 02:03 UTC
Brockett GavinSr VP, Global Controller, PAO
GrantClass A Common Stock 8,641 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-005457 · doc4.xml · nonDerivative · entry 1

Brockett Gavin · CIK 0001772309 · Sr VP, Global Controller, PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,799

F1 · shares: The shares are represented by restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. The RSUs vest in four equal annual installments measured from January 27, 2020.

Read SEC document
January 27, 2020 Filed Jan 30, 2020 02:02 UTC
Singh Harmit JExecutive VP and CFO
GrantStock Appreciation Rights · Derivative 65,789 $0.00 Strike: $20.25 $0.00
Disclosure

SEC source: 0001209191-20-005455 · doc4.xml · derivative · entry 2

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,789

Underlying: Class A Common Stock · 65,789 shares

Expires 2030-01-27

F2 · derivative.exercise_date: The stock appreciation rights vest in four equal annual installments measured from January 27, 2020.

Read SEC document
January 27, 2020 Filed Jan 30, 2020 02:02 UTC
Singh Harmit JExecutive VP and CFO
GrantClass A Common Stock 22,222 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-005455 · doc4.xml · nonDerivative · entry 1

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,152

F1 · shares: The shares are represented by restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. The RSUs vest in four equal annual installments measured from January 27, 2020.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 02:02 UTC
Bergh Charles VDirector · President and CEO
Tax withholdingClass A Common Stock 314,429 $20.25 $6,367,187.25
Disclosure

SEC source: 0001209191-20-006169 · doc4.xml · nonDerivative · entry 2

Bergh Charles V · CIK 0001436534 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 883,402

F2 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 02:02 UTC
Bergh Charles VDirector · President and CEO
GrantClass A Common Stock 634,214 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006169 · doc4.xml · nonDerivative · entry 1

Bergh Charles V · CIK 0001436534 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,197,831

F1 · kind: On February 1, 2017, the reporting person was granted performance-based restricted stock units (PSRUs). Each PRSU represents a contingent right to receive shares of the Issuer's Class B common stock upon settlement. 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 PRSUs vest at the end of a three-year period following the grant on the date that the Board of Directors certifies attainment, based on the Issuer's satisfaction of certain performance criteria. The performance criteria were met on January 27, 2020, resulting in the issuance of 634,214 vested PRSUs.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 02:02 UTC
Brockett GavinSr VP, Global Controller, PAO
Tax withholdingClass A Common Stock 9,921 $20.25 $200,900.25
Disclosure

SEC source: 0001209191-20-006168 · doc4.xml · nonDerivative · entry 2

Brockett Gavin · CIK 0001772309 · Sr VP, Global Controller, PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,870

F2 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 02:02 UTC
Brockett GavinSr VP, Global Controller, PAO
GrantClass A Common Stock 27,992 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006168 · doc4.xml · nonDerivative · entry 1

Brockett Gavin · CIK 0001772309 · Sr VP, Global Controller, PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,791

F1 · kind: On March 19, 2019, the reporting person was re-granted performance-based restricted stock units (PSRUs). Each PRSU represents a contingent right to receive shares of the Issuer's Class B common stock upon settlement. 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 PRSUs vest at the end of a three-year period following February 1, 2017 (the date of the original grant) on the date that the Board of Directors certifies attainment, based on the Issuer's satisfaction of certain performance criteria. The performance criteria were met on January 27, 2020, resulting in the issuance of 27,992 vested PRSUs.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 02:01 UTC
Singh Harmit JExecutive VP and CFO
Tax withholdingClass A Common Stock 67,721 $20.25 $1,371,350.25
Disclosure

SEC source: 0001209191-20-006167 · doc4.xml · nonDerivative · entry 2

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,019

F2 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 02:01 UTC
Singh Harmit JExecutive VP and CFO
GrantClass A Common Stock 136,588 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006167 · doc4.xml · nonDerivative · entry 1

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,740

F1 · kind: On February 1, 2017, the reporting person was granted performance-based restricted stock units (PSRUs). Each PRSU represents a contingent right to receive shares of the Issuer's Class B common stock upon settlement. 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 PRSUs vest at the end of a three-year period following the grant on the date that the Board of Directors certifies attainment, based on the Issuer's satisfaction of certain performance criteria. The performance criteria were met on January 27, 2020, resulting in the issuance of 136,588 vested PRSUs.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 02:00 UTC
Bagattini RoyEVP & President, Americas
Tax withholdingClass A Common Stock 45,957 $20.25 $930,629.25
Disclosure

SEC source: 0001209191-20-006166 · doc4.xml · nonDerivative · entry 2

Bagattini Roy · CIK 0001768720 · EVP & President, Americas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,155

F2 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 02:00 UTC
Bagattini RoyEVP & President, Americas
GrantClass A Common Stock 92,692 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006166 · doc4.xml · nonDerivative · entry 1

Bagattini Roy · CIK 0001768720 · EVP & President, Americas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,112

F1 · kind: On February 1, 2017, the reporting person was granted performance-based restricted stock units (PSRUs). Each PRSU represents a contingent right to receive shares of the Issuer's Class B common stock upon settlement. 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 PRSUs vest at the end of a three-year period following the grant on the date that the Board of Directors certifies attainment, based on the Issuer's satisfaction of certain performance criteria. The performance criteria were met on January 27, 2020, resulting in the issuance of 92,692 vested PRSUs.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:59 UTC
JAFFE SETHEVP & General Counsel
Tax withholdingClass A Common Stock 33,860 $20.25 $685,665.00
Disclosure

SEC source: 0001209191-20-006165 · doc4.xml · nonDerivative · entry 2

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,904

F2 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:59 UTC
JAFFE SETHEVP & General Counsel
GrantClass A Common Stock 68,293 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006165 · doc4.xml · nonDerivative · entry 1

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,764

F1 · kind: On February 1, 2017, the reporting person was granted performance-based restricted stock units (PSRUs). Each PRSU represents a contingent right to receive shares of the Issuer's Class B common stock upon settlement. 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 PRSUs vest at the end of a three-year period following the grant on the date that the Board of Directors certifies attainment, based on the Issuer's satisfaction of certain performance criteria. The performance criteria were met on January 27, 2020, resulting in the issuance of 68,293 vested PRSUs.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:58 UTC
O'Neill Elizabeth TEVP & Pres.Prod., Innov. Supp.
Tax withholdingClass A Common Stock 21,755 $20.25 $440,538.75
Disclosure

SEC source: 0001209191-20-006162 · doc4.xml · nonDerivative · entry 2

O'Neill Elizabeth T · CIK 0001768671 · EVP & Pres.Prod., Innov. Supp.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,312

F2 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:58 UTC
O'Neill Elizabeth TEVP & Pres.Prod., Innov. Supp.
GrantClass A Common Stock 58,532 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006162 · doc4.xml · nonDerivative · entry 1

O'Neill Elizabeth T · CIK 0001768671 · EVP & Pres.Prod., Innov. Supp.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,067

F1 · kind: On February 1, 2017, the reporting person was granted performance-based restricted stock units (PSRUs). Each PRSU represents a contingent right to receive shares of the Issuer's Class B common stock upon settlement. 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 PRSUs vest at the end of a three-year period following the grant on the date that the Board of Directors certifies attainment, based on the Issuer's satisfaction of certain performance criteria. The performance criteria were met on January 27, 2020, resulting in the issuance of 58,532 vested PRSUs.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:59 UTC
Ellison Seth M.EVP & President, Europe
Tax withholdingClass A Common Stock 40,879 $20.25 $827,799.75
Disclosure

SEC source: 0001209191-20-006164 · doc4.xml · nonDerivative · entry 2

Ellison Seth M. · CIK 0001768700 · EVP & President, Europe

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,447

F2 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:59 UTC
Ellison Seth M.EVP & President, Europe
GrantClass A Common Stock 92,692 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006164 · doc4.xml · nonDerivative · entry 1

Ellison Seth M. · CIK 0001768700 · EVP & President, Europe

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,326

F1 · kind: On February 1, 2017, the reporting person was granted performance-based restricted stock units (PSRUs). Each PRSU represents a contingent right to receive shares of the Issuer's Class B common stock upon settlement. 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 PRSUs vest at the end of a three-year period following the grant on the date that the Board of Directors certifies attainment, based on the Issuer's satisfaction of certain performance criteria. The performance criteria were met on January 27, 2020, resulting in the issuance of 92,692 vested PRSUs.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:57 UTC
Rosen MarcEVP & Pres. Direct-to-Customer
Tax withholdingClass A Common Stock 19,357 $20.25 $391,979.25
Disclosure

SEC source: 0001209191-20-006160 · doc4.xml · nonDerivative · entry 2

Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,755

F2 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:57 UTC
Rosen MarcEVP & Pres. Direct-to-Customer
GrantClass A Common Stock 53,657 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006160 · doc4.xml · nonDerivative · entry 1

Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,112

F1 · kind: On February 1, 2017, the reporting person was granted performance-based restricted stock units (PSRUs). Each PRSU represents a contingent right to receive shares of the Issuer's Class B common stock upon settlement. 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 PRSUs vest at the end of a three-year period following the grant on the date that the Board of Directors certifies attainment, based on the Issuer's satisfaction of certain performance criteria. The performance criteria were met on January 27, 2020, resulting in the issuance of 53,657 vested PRSUs.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:56 UTC
Love David SievewrightEVP & Pres Asia Mid E & Africa
Tax withholdingClass A Common Stock 38,705 $20.25 $783,776.25
Disclosure

SEC source: 0001209191-20-006158 · doc4.xml · nonDerivative · entry 2

Love David Sievewright · CIK 0001768669 · EVP & Pres Asia Mid E & Africa

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 420,424

F2 · kind: Shares withheld to cover tax obligation from settlement of vested restricted stock units.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 01:56 UTC
Love David SievewrightEVP & Pres Asia Mid E & Africa
GrantClass A Common Stock 92,692 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006158 · doc4.xml · nonDerivative · entry 1

Love David Sievewright · CIK 0001768669 · EVP & Pres Asia Mid E & Africa

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 459,129

F1 · kind: On February 1, 2017, the reporting person was granted performance-based restricted stock units (PSRUs). Each PRSU represents a contingent right to receive shares of the Issuer's Class B common stock upon settlement. 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 PRSUs vest at the end of a three-year period following the grant on the date that the Board of Directors certifies attainment, based on the Issuer's satisfaction of certain performance criteria. The performance criteria were met on January 27, 2020, resulting in the issuance of 92,692 vested PRSUs.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 23:24 UTC ConversionClass B Common Stock · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006594 · doc4.xml · derivative · entry 4

Pineda Patricia Salas · CIK 0001769208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,890

Underlying: Class A Common Stock · 50,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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.

F1 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

Read SEC document
January 27, 2020 Filed Feb 4, 2020 23:24 UTC ConversionClass A Common Stock 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006594 · doc4.xml · nonDerivative · entry 1

Pineda Patricia Salas · CIK 0001769208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,667

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person.

Read SEC document
January 27, 2020 Filed Apr 21, 2023 22:35 UTC Amendment
Bergh Charles VDirector · President and CEO
Tax withholdingClass B Common Stock · Derivative 314,429 $20.25 $6,367,187.25
Disclosure

SEC source: 0001209191-23-025256 · doc4a.xml · derivative · entry 2

Bergh Charles V · CIK 0001436534 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 813,805

Underlying: Class A Common Stock · 314,429 shares

Expires not disclosed

F3 · derivative.exercise_price: 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.

F5 · kind: Shares withheld to cover tax obligation from settlement of vested PRSUs and restricted stock units.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

Read SEC document
January 27, 2020 Filed Apr 21, 2023 22:35 UTC Amendment
Bergh Charles VDirector · President and CEO
GrantClass B Common Stock · Derivative 634,215 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025256 · doc4a.xml · derivative · entry 1

Bergh Charles V · CIK 0001436534 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,128,234

Underlying: Class A Common Stock · 634,215 shares

Expires not disclosed

F1 · security: Represents shares of Class B common stock issued upon the settlement of restricted stock units with performance-based vesting criteria (PRSUs). The performance criteria were met on January 27, 2020.

F2 · security: This Form 4/A is being filed to correct the disclosure relating to the issuance of shares of Class B common stock upon settlement of PRSUs set forth in the Form 4 filed on February 3, 2020 (the "Original Form 4"), which were inadvertently disclosed in Table I instead of Table II in the Original Form 4.

F3 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

F4 · balance_after: Includes 471,930 shares of Class B common stock subject to restricted stock units, (i) 225,010 of which were awarded in 2017 and vest on February 1, 2020, (ii) 125,500 of which were awarded in 2018, 37,940 of which vest on January 30, 2020, and the remainder of which vest in two equal annual installments beginning January 30, 2021 and (iii) 121,420 of which were awarded in 2019, which vest in four equal annual installments beginning on January 30, 2020.

Read SEC document
January 27, 2020 Filed Apr 21, 2023 22:36 UTC Amendment
Singh Harmit JExecutive VP and CFO
Tax withholdingClass B Common Stock · Derivative 67,721 $20.25 $1,371,350.25
Disclosure

SEC source: 0001209191-23-025257 · doc4a.xml · derivative · entry 2

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,847

Underlying: Class A Common Stock · 67,721 shares

Expires not disclosed

F3 · derivative.exercise_price: 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.

F5 · kind: Shares withheld to cover tax obligation from settlement of vested PRSUs and RSUs.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

Read SEC document
January 27, 2020 Filed Apr 21, 2023 22:36 UTC Amendment
Singh Harmit JExecutive VP and CFO
GrantClass B Common Stock · Derivative 136,588 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025257 · doc4a.xml · derivative · entry 1

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248,568

Underlying: Class A Common Stock · 136,588 shares

Expires not disclosed

F1 · security: Represents shares of Class B common stock issued upon the settlement of restricted stock units with performance-based vesting criteria (PRSUs). The performance criteria were met on January 27, 2020.

F2 · security: This Form 4/A is being filed to correct the disclosure relating to the issuance of shares of Class B common stock upon settlement of PRSUs set forth in the Form 4 filed on February 3, 2020 (the "Original Form 4"), which were inadvertently disclosed in Table I instead of Table II in the Original Form 4.

F3 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

F4 · balance_after: Includes 105,930 shares of Class B common stock subject to restricted stock units, 50,720 of which were awarded in 2017 and vest on February 1, 2020, (ii) 28,320 of which were awarded in 2018, 9,440 of which vest on January 30, 2020, and the remainder of which vest in two equal annual installments beginning January 30, 2021, and (iii) 26,890 of which were awarded in 2019, which vest in four equal annual installments beginning on January 30, 2020.

Read SEC document
January 24, 2020 Filed Jan 29, 2020 00:22 UTC ConversionClass B Common Stock · Derivative 16,687 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001648 · doc1.xml · derivative · entry 7

Haas Jennifer C. · CIK 0001791586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,626,216

Underlying: Class A Common Stock · 16,687 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: 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.

F1 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock.

F2 · price: 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 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

Read SEC document
January 24, 2020 Filed Jan 29, 2020 00:22 UTC SaleClass A Common Stock 16,687 $20.05 $334,569.34
Disclosure

SEC source: 0001567619-20-001648 · doc1.xml · nonDerivative · entry 2

Haas Jennifer C. · CIK 0001791586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · kind: Shares disposed of pursuant to a previously established Rule 10b5-1 plan.

F4 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.155 per share. Ms. Haas undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares sold at each separate price within this range.

Read SEC document
January 24, 2020 Filed Jan 29, 2020 00:22 UTC ConversionClass A Common Stock 16,687 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001648 · doc1.xml · nonDerivative · entry 1

Haas Jennifer C. · CIK 0001791586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,687

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock.

F2 · price: 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.

Read SEC document
January 24, 2020 Filed Jan 29, 2020 00:20 UTC ConversionClass B Common Stock · Derivative 2,503 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001647 · doc1.xml · derivative · entry 7

Haas Bradley J. · CIK 0001791584 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,874,569

Underlying: Class A Common Stock · 2,503 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: 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.

F1 · kind: Represents the conversion of Class B Common Stock into Class a Common Stock.

F2 · price: 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 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

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January 24, 2020 Filed Jan 29, 2020 00:20 UTC SaleClass A Common Stock 2,503 $20.05 $50,184.40
Disclosure

SEC source: 0001567619-20-001647 · doc1.xml · nonDerivative · entry 2

Haas Bradley J. · CIK 0001791584 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F3 · kind: Shares disposed of pursuant to a previously established Rule 10b5-1 plan.

F4 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $ 20.00 to $20.155 per share. Mr. Haas undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares sold at each separate price within this range.

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January 24, 2020 Filed Jan 29, 2020 00:20 UTC ConversionClass A Common Stock 2,503 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001647 · doc1.xml · nonDerivative · entry 1

Haas Bradley J. · CIK 0001791584 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,503

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion of Class B Common Stock into Class a Common Stock.

F2 · price: 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.

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January 24, 2020 Filed Jan 29, 2020 00:11 UTC SaleClass A Common Stock 32,706 $20.05 $655,745.49
Disclosure

SEC source: 0001209191-20-005248 · doc4.xml · nonDerivative · entry 6

Eisenhardt Elizabeth H · CIK 0001792748 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Trustee

Disclosed balance after: 513,859

F1 · kind: Shares disposed of pursuant to a previously established Rule 10b5-1 plan.

F6 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $20.000 to $20.155 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.

F4 · ownership.nature: These shares are held by the Elizabeth H. Eisenhardt 2012 Trust B for which the reporting person serves as trustee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

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January 24, 2020 Filed Jan 29, 2020 00:11 UTC SaleClass A Common Stock 17,355 $20.05 $347,962.54
Disclosure

SEC source: 0001209191-20-005248 · doc4.xml · nonDerivative · entry 5

Eisenhardt Elizabeth H · CIK 0001792748 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Trustee

Disclosed balance after: 326,660

F1 · kind: Shares disposed of pursuant to a previously established Rule 10b5-1 plan.

F6 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $20.000 to $20.155 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.

F3 · ownership.nature: These shares are held by the Elizabeth H. Eisenhardt 2012 Trust A for which the reporting person serves as trustee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

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January 23, 2020 Filed Jan 23, 2020 23:37 UTC
JAFFE SETHEVP & General Counsel
SaleClass A Common Stock 68,514 $20.11 $1,377,754.88
Disclosure

SEC source: 0001209191-20-004726 · doc4.xml · nonDerivative · entry 3

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,126

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan.

F4 · price: Price represents the weighted average sale price of the shares sold. The sale price ranged from $20..00 to $20.07 per share. Upon request by the Commission staff, 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 Form 4.

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January 23, 2020 Filed Jan 23, 2020 23:28 UTC SaleClass A Common Stock 28,380 $20.05 $569,072.92
Disclosure

SEC source: 0001209191-20-004724 · doc4.xml · nonDerivative · entry 2

Eisenhardt Elizabeth H · CIK 0001792748 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Trustee

Disclosed balance after: 546,565

F1 · kind: Shares disposed of pursuant to a previously established Rule 10b5-1 plan.

F2 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $20.000 to $20.160 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.

F3 · ownership.nature: These shares are held by a trust for which the reporting person serves as trustee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

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January 23, 2020 Filed Jan 23, 2020 23:28 UTC SaleClass A Common Stock 15,058 $20.05 $301,941.51
Disclosure

SEC source: 0001209191-20-004724 · doc4.xml · nonDerivative · entry 1

Eisenhardt Elizabeth H · CIK 0001792748 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Trustee

Disclosed balance after: 344,015

F1 · kind: Shares disposed of pursuant to a previously established Rule 10b5-1 plan.

F2 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $20.000 to $20.160 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.

F3 · ownership.nature: These shares are held by a trust for which the reporting person serves as trustee. The reporting person disclaims beneficial ownership of these shares except to the extent of any pecuniary interest therein.

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January 23, 2020 Filed Jan 23, 2020 23:36 UTC
Bagattini RoyEVP & President, Americas
SaleClass A Common Stock 51,737 $20.02 $1,035,541.92
Disclosure

SEC source: 0001209191-20-004725 · doc4.xml · nonDerivative · entry 3

Bagattini Roy · CIK 0001768720 · EVP & President, Americas

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,420

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan.

F4 · price: Price represents the weighted average sale price of the shares sold. The sale price ranged from $20.00 to $20.08 per share. Upon request by the Commission staff, 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 Form 4.

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January 23, 2020 Filed Jan 23, 2020 23:20 UTC ConversionClass B Common Stock · Derivative 14,479 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001462 · doc1.xml · derivative · entry 9

Haas Jennifer C. · CIK 0001791586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,642,903

Underlying: Class A Common Stock · 14,479 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: 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.

F1 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock.

F2 · price: 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 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

Read SEC document
January 23, 2020 Filed Jan 23, 2020 23:20 UTC SaleClass A Common Stock 14,479 $20.05 $290,331.46
Disclosure

SEC source: 0001567619-20-001462 · doc1.xml · nonDerivative · entry 6

Haas Jennifer C. · CIK 0001791586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · kind: Shares disposed of pursuant to a previously established Rule 10b5-1 plan.

F5 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20 to $20.16 per share. Ms. Haas undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares sold at each separate price within this range.

Read SEC document
January 23, 2020 Filed Jan 23, 2020 23:20 UTC ConversionClass A Common Stock 14,479 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001462 · doc1.xml · nonDerivative · entry 5

Haas Jennifer C. · CIK 0001791586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,479

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion of Class B Common Stock into Class A Common Stock.

F2 · price: 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.

Read SEC document
January 23, 2020 Filed Jan 23, 2020 23:21 UTC ConversionClass B Common Stock · Derivative 2,172 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001463 · doc1.xml · derivative · entry 9

Haas Bradley J. · CIK 0001791584 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,877,072

Underlying: Class A Common Stock · 2,172 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: 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.

F1 · kind: Represents the conversion of Class B Common Stock into Class a Common Stock.

F2 · price: 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 · derivative.exercise_date: 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 · derivative.expiration_date: 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.

Read SEC document
January 23, 2020 Filed Jan 23, 2020 23:21 UTC SaleClass A Common Stock 2,172 $20.05 $43,552.73
Disclosure

SEC source: 0001567619-20-001463 · doc1.xml · nonDerivative · entry 6

Haas Bradley J. · CIK 0001791584 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F3 · kind: Shares disposed of pursuant to a previously established Rule 10b5-1 plan.

F5 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.16 per share. Mr. Haas undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares sold at each separate price within this range.

Read SEC document
January 23, 2020 Filed Jan 23, 2020 23:21 UTC ConversionClass A Common Stock 2,172 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-001463 · doc1.xml · nonDerivative · entry 5

Haas Bradley J. · CIK 0001791584 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,172

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion of Class B Common Stock into Class a Common Stock.

F2 · price: 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.

Read SEC document
January 22, 2020 Filed Jan 23, 2020 23:37 UTC
JAFFE SETHEVP & General Counsel
ConversionClass B Common Stock · Derivative 70,914 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-004726 · doc4.xml · derivative · entry 7

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,480

Underlying: Class A Common Stock · 70,914 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: 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 · shares: Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person.

F6 · derivative.exercise_date: 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.

F6 · derivative.expiration_date: 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.

Read SEC document
January 22, 2020 Filed Jan 23, 2020 23:37 UTC
JAFFE SETHEVP & General Counsel
SaleClass A Common Stock 2,400 $20.00 $48,000.96
Disclosure

SEC source: 0001209191-20-004726 · doc4.xml · nonDerivative · entry 2

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,640

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan.

F3 · price: Price represents the weighted average sale price of the shares sold. The sale price ranged from $20.00 to $20.01 per share. Upon request by the Commission staff, 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 Form 4.

Read SEC document
January 22, 2020 Filed Jan 23, 2020 23:37 UTC
JAFFE SETHEVP & General Counsel
ConversionClass A Common Stock 70,914 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-004726 · doc4.xml · nonDerivative · entry 1

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,040

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan.

F2 · shares: Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.