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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

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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
March 25, 2019 Filed Apr 21, 2023 22:30 UTC Amendment
Singh Harmit JExecutive VP and CFO
OtherStock Appreciation Rights · Derivative 792,450 $0.00 Strike: $7.43 $0.00
Disclosure

SEC source: 0001209191-23-025254 · doc4a.xml · derivative · entry 7

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 792,450 shares

Expires 2022-02-04

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F6 · derivative.exercise_date: Of these SARs: (i) 337,020 are PSARs that vested on January 30, 2018 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 455,430 SARs that are fully vested.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:30 UTC Amendment
Singh Harmit JExecutive VP and CFO
OtherStock Appreciation Rights · Derivative 976,390 $0.00 Strike: $6.10 $0.00
Disclosure

SEC source: 0001209191-23-025254 · doc4a.xml · derivative · entry 6

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 976,390

Underlying: Class B Common Stock · 976,390 shares

Expires 2023-02-09

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F5 · derivative.exercise_date: Of these SARs: (i) 443,810 are performance stock appreciation rights (PSARs) that vested on January 30, 2019 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 532,580 SARs that vested as to 25% of the SARs on February 9, 2017, with the remainder vesting in 36 equal monthly installments thereafter.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:30 UTC Amendment
Singh Harmit JExecutive VP and CFO
OtherStock Appreciation Rights · Derivative 976,390 $0.00 Strike: $6.10 $0.00
Disclosure

SEC source: 0001209191-23-025254 · doc4a.xml · derivative · entry 5

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 976,390 shares

Expires 2023-02-09

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F5 · derivative.exercise_date: Of these SARs: (i) 443,810 are performance stock appreciation rights (PSARs) that vested on January 30, 2019 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 532,580 SARs that vested as to 25% of the SARs on February 9, 2017, with the remainder vesting in 36 equal monthly installments thereafter.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:30 UTC Amendment
Singh Harmit JExecutive VP and CFO
OtherClass B Common Stock · Derivative 105,930 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025254 · doc4a.xml · derivative · entry 4

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,980

Underlying: Class A Common Stock · 105,930 shares

Expires not disclosed

F2 · security: This Form 4/A is being filed to correct the disclosure relating to 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. As a result, certain subsequent instances of withholding of shares to satisfy tax liabilities were reported solely within Table I.

F3 · security: Each share is represented by a restricted stock unit (RSU) that may be settled in shares of Class B Common Stock. Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement. Of these RSUs, (i) 50,720 RSUs vest on February 1, 2020, (ii) 28,320 RSUs vest in four equal annual installments beginning on January 30, 2019, and (iii) 26,890 RSUs vest in four equal annual installments beginning on January 30, 2020.

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:30 UTC Amendment
Singh Harmit JExecutive VP and CFO
OtherClass B Common Stock · Derivative 6,050 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025254 · doc4a.xml · derivative · entry 3

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,050

Underlying: Class A Common Stock · 6,050 shares

Expires not disclosed

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:30 UTC Amendment
Singh Harmit JExecutive VP and CFO
OtherCommon Stock 105,930 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025254 · doc4a.xml · nonDerivative · entry 2

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · security: Immediately prior to the closing of the Issuer's initial public offering, 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 · security: This Form 4/A is being filed to correct the disclosure relating to 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. As a result, certain subsequent instances of withholding of shares to satisfy tax liabilities were reported solely within Table I.

F3 · shares: Each share is represented by a restricted stock unit (RSU) that may be settled in shares of Class B Common Stock. Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement. Of these RSUs, (i) 50,720 RSUs vest on February 1, 2020, (ii) 28,320 RSUs vest in four equal annual installments beginning on January 30, 2019, and (iii) 26,890 RSUs vest in four equal annual installments beginning on January 30, 2020.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:30 UTC Amendment
Singh Harmit JExecutive VP and CFO
OtherCommon Stock 6,050 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025254 · doc4a.xml · nonDerivative · entry 1

Singh Harmit J · CIK 0001472176 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,930

F1 · security: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherStock Appreciation Rights · Derivative 92,990 $0.00 Strike: $6.90 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · derivative · entry 10

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,990

Underlying: Class B Common Stock · 92,990 shares

Expires 2024-02-01

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F7 · derivative.exercise_date: 25% of the SARs vested on February 1, 2018, and 1/3 of the remaining SARs vest annually beginning on February 1, 2019.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherStock Appreciation Rights · Derivative 92,990 $0.00 Strike: $6.90 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · derivative · entry 9

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 92,990 shares

Expires 2024-02-01

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F7 · derivative.exercise_date: 25% of the SARs vested on February 1, 2018, and 1/3 of the remaining SARs vest annually beginning on February 1, 2019.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherStock Appreciation Rights · Derivative 66,940 $0.00 Strike: $9.60 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · derivative · entry 8

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,940

Underlying: Class B Common Stock · 66,940 shares

Expires 2025-01-30

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F6 · derivative.exercise_date: 25% of the SARs vested on January 30, 2019, and 1/3 of the remaining SARs vest annually beginning on January 30, 2020.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherStock Appreciation Rights · Derivative 66,940 $0.00 Strike: $9.60 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · derivative · entry 7

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 66,940 shares

Expires 2025-01-30

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F6 · derivative.exercise_date: 25% of the SARs vested on January 30, 2019, and 1/3 of the remaining SARs vest annually beginning on January 30, 2020.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherStock Appreciation Rights · Derivative 55,900 $0.00 Strike: $14.88 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · derivative · entry 6

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,900

Underlying: Class B Common Stock · 55,900 shares

Expires 2029-01-29

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F5 · derivative.exercise_date: 25% of the SARs vest on January 30, 2020, and 1/3 of the remaining SARs vest annually beginning on January 30, 2021.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherStock Appreciation Rights · Derivative 55,900 $0.00 Strike: $14.88 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · derivative · entry 5

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 55,900 shares

Expires 2029-01-29

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F5 · derivative.exercise_date: 25% of the SARs vest on January 30, 2020, and 1/3 of the remaining SARs vest annually beginning on January 30, 2021.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherClass B Common Stock · Derivative 52,190 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · derivative · entry 4

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,950

Underlying: Class A Common Stock · 52,190 shares

Expires not disclosed

F2 · security: This Form 4/A is being filed to correct the disclosure relating to 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.

F3 · security: Each share is represented by a restricted stock unit (RSU) that may be settled in shares of Class B Common Stock. Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement. Of these RSUs, (i) 21,730 RSUs vest on February 1, 2020, (ii) 13,660 RSUs vest in four equal annual installments beginning on January 30, 2019, and (iii) 16,800 RSUs vest in four equal annual installments beginning on January 30, 2020.

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherClass B Common Stock · Derivative 2,760 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · derivative · entry 3

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,760

Underlying: Class A Common Stock · 2,760 shares

Expires not disclosed

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherCommon Stock 52,190 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · nonDerivative · entry 2

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · security: Immediately prior to the closing of the Issuer's initial public offering, 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 · security: This Form 4/A is being filed to correct the disclosure relating to 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.

F3 · shares: Each share is represented by a restricted stock unit (RSU) that may be settled in shares of Class B Common Stock. Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement. Of these RSUs, (i) 21,730 RSUs vest on February 1, 2020, (ii) 13,660 RSUs vest in four equal annual installments beginning on January 30, 2019, and (iii) 16,800 RSUs vest in four equal annual installments beginning on January 30, 2020.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
O'Neill Elizabeth TEVP & Chief Operations Officer
OtherCommon Stock 2,760 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025252 · doc4a.xml · nonDerivative · entry 1

O'Neill Elizabeth T · CIK 0001768671 · EVP & Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,190

F1 · security: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 108,490 $0.00 Strike: $6.90 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 16

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,490

Underlying: Class B Common Stock · 108,490 shares

Expires 2024-02-01

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F10 · derivative.exercise_date: 25% of the SARs vested on February 1, 2018, and 1/3 of the remaining SARs vest annually beginning on February 1, 2019.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 108,490 $0.00 Strike: $6.90 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 15

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 108,490 shares

Expires 2024-02-01

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F10 · derivative.exercise_date: 25% of the SARs vested on February 1, 2018, and 1/3 of the remaining SARs vest annually beginning on February 1, 2019.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 74,120 $0.00 Strike: $9.60 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 14

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,120

Underlying: Class B Common Stock · 74,120 shares

Expires 2025-01-30

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F9 · derivative.exercise_date: 25% of the SARs vested on January 30, 2019, and 1/3 of the remaining SARs vest annually beginning on January 30, 2020.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 74,120 $0.00 Strike: $9.60 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 13

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 74,120 shares

Expires 2025-01-30

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F9 · derivative.exercise_date: 25% of the SARs vested on January 30, 2019, and 1/3 of the remaining SARs vest annually beginning on January 30, 2020.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 44,720 $0.00 Strike: $14.88 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 12

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,720

Underlying: Class B Common Stock · 44,720 shares

Expires 2029-01-29

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F8 · derivative.exercise_date: 25% of the SARs vest on January 30, 2020, and 1/3 of the remaining SARs vest annually beginning on January 30, 2021.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 44,720 $0.00 Strike: $14.88 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 11

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 44,720 shares

Expires 2029-01-29

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F8 · derivative.exercise_date: 25% of the SARs vest on January 30, 2020, and 1/3 of the remaining SARs vest annually beginning on January 30, 2021.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 279,560 $0.00 Strike: $6.45 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 10

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 279,560

Underlying: Class B Common Stock · 279,560 shares

Expires 2021-02-05

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F7 · derivative.exercise_date: Of these SARs: (i) 93,190 are PSARs that vested on February 1, 2017 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 186,370 SARs that are fully vested.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 279,560 $0.00 Strike: $6.45 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 9

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 279,560 shares

Expires 2021-02-05

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F7 · derivative.exercise_date: Of these SARs: (i) 93,190 are PSARs that vested on February 1, 2017 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 186,370 SARs that are fully vested.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 339,610 $0.00 Strike: $7.43 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 8

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 339,610

Underlying: Class B Common Stock · 339,610 shares

Expires 2022-02-04

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F6 · derivative.exercise_date: Of these SARs: (i) 144,430 are PSARs that vested on January 30, 2018 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 195,180 SARs that are fully vested.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 339,610 $0.00 Strike: $7.43 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 7

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 339,610 shares

Expires 2022-02-04

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F6 · derivative.exercise_date: Of these SARs: (i) 144,430 are PSARs that vested on January 30, 2018 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 195,180 SARs that are fully vested.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 453,320 $0.00 Strike: $6.10 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 6

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 453,320

Underlying: Class B Common Stock · 453,320 shares

Expires 2023-02-09

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F5 · derivative.exercise_date: Of these SARs: (i) 206,050 are performance stock appreciation rights (PSARs) that vested on January 30, 2019 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 247,270 SARs that vested as to 25% of the SARs on February 9, 2017, with the remainder vesting in 36 equal monthly installments thereafter.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherStock Appreciation Rights · Derivative 453,320 $0.00 Strike: $6.10 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 5

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 453,320 shares

Expires 2023-02-09

F4 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F5 · derivative.exercise_date: Of these SARs: (i) 206,050 are performance stock appreciation rights (PSARs) that vested on January 30, 2019 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 247,270 SARs that vested as to 25% of the SARs on February 9, 2017, with the remainder vesting in 36 equal monthly installments thereafter.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherClass B Common Stock · Derivative 52,800 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 4

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 281,280

Underlying: Class A Common Stock · 52,800 shares

Expires not disclosed

F2 · security: This Form 4/A is being filed to correct the disclosure relating to 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. As a result, certain subsequent instances of withholding of shares to satisfy tax liabilities were reported solely within Table I.

F3 · security: Each share is represented by a restricted stock unit (RSU) that may be settled in shares of Class B Common Stock. Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement. Of these RSUs, (i) 24,230 RSUs vest on February 1, 2020, (ii) 15,130 RSUs vest in four equal annual installments beginning on January 30, 2019, and (iii) 13,440 RSUs vest in four equal annual installments beginning on January 30, 2020.

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherClass B Common Stock · Derivative 228,480 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · derivative · entry 3

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,480

Underlying: Class A Common Stock · 228,480 shares

Expires not disclosed

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherCommon Stock 52,800 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · nonDerivative · entry 2

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · security: Immediately prior to the closing of the Issuer's initial public offering, 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 · security: This Form 4/A is being filed to correct the disclosure relating to 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. As a result, certain subsequent instances of withholding of shares to satisfy tax liabilities were reported solely within Table I.

F3 · shares: Each share is represented by a restricted stock unit (RSU) that may be settled in shares of Class B Common Stock. Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement. Of these RSUs, (i) 24,230 RSUs vest on February 1, 2020, (ii) 15,130 RSUs vest in four equal annual installments beginning on January 30, 2019, and (iii) 13,440 RSUs vest in four equal annual installments beginning on January 30, 2020.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:29 UTC Amendment
JAFFE SETHEVP & General Counsel
OtherCommon Stock 228,480 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025251 · doc4a.xml · nonDerivative · entry 1

JAFFE SETH · CIK 0001263162 · EVP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,800

F1 · security: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 1,007,430 $0.00 Strike: $6.90 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 18

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,007,430

Underlying: Class B Common Stock · 1,007,430 shares

Expires 2024-02-01

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F11 · derivative.exercise_date: 25% of the SARs vested on February 1, 2018, and 1/3 of the remaining SARs vest annually beginning on February 1, 2019.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 1,007,430 $0.00 Strike: $6.90 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 17

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,007,430 shares

Expires 2024-02-01

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F11 · derivative.exercise_date: 25% of the SARs vested on February 1, 2018, and 1/3 of the remaining SARs vest annually beginning on February 1, 2019.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 643,170 $0.00 Strike: $9.60 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 16

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 643,170

Underlying: Class B Common Stock · 643,170 shares

Expires 2025-01-30

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F10 · derivative.exercise_date: 25% of the SARs vested on January 30, 2019, and 1/3 of the remaining SARs vest annually beginning on January 30, 2020.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 643,170 $0.00 Strike: $9.60 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 15

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 643,170 shares

Expires 2025-01-30

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F10 · derivative.exercise_date: 25% of the SARs vested on January 30, 2019, and 1/3 of the remaining SARs vest annually beginning on January 30, 2020.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 403,900 $0.00 Strike: $14.88 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 14

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 403,900

Underlying: Class B Common Stock · 403,900 shares

Expires 2029-01-29

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F9 · derivative.exercise_date: 25% of the SARs vest on January 30, 2020, and 1/3 of the remaining SARs vest annually beginning on January 30, 2021.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 403,900 $0.00 Strike: $14.88 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 13

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 403,900 shares

Expires 2029-01-29

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F9 · derivative.exercise_date: 25% of the SARs vest on January 30, 2020, and 1/3 of the remaining SARs vest annually beginning on January 30, 2021.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 2,897,320 $0.00 Strike: $6.45 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 12

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,897,320

Underlying: Class B Common Stock · 2,897,320 shares

Expires 2021-02-05

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F8 · derivative.exercise_date: Of these SARs: (i) 965,780 are PSARs that vested on February 1, 2017 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors, and are immediately exercisable; and (ii) 1,931,540 are time-based SARs that are fully vested.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 2,897,320 $0.00 Strike: $6.45 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 11

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,897,320 shares

Expires 2021-02-05

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F8 · derivative.exercise_date: Of these SARs: (i) 965,780 are PSARs that vested on February 1, 2017 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors, and are immediately exercisable; and (ii) 1,931,540 are time-based SARs that are fully vested.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

Read SEC document
March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 3,283,010 $0.00 Strike: $7.43 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 10

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,283,010

Underlying: Class B Common Stock · 3,283,010 shares

Expires 2022-02-04

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F7 · derivative.exercise_date: Of these SARs: (i) 1,396,220 are PSARs that vested on January 30, 2018 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors, and are immediately exercisable; and (ii) 1,886,790 are time-based SARs that are fully vested.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

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March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 3,283,010 $0.00 Strike: $7.43 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,283,010 shares

Expires 2022-02-04

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F7 · derivative.exercise_date: Of these SARs: (i) 1,396,220 are PSARs that vested on January 30, 2018 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors, and are immediately exercisable; and (ii) 1,886,790 are time-based SARs that are fully vested.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

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March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 4,526,360 $0.00 Strike: $6.10 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,526,360

Underlying: Class B Common Stock · 4,526,360 shares

Expires 2023-02-09

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F6 · derivative.exercise_date: Of these SARs: (i) 2,057,430 are performance stock appreciation rights (PSARs) that vested on January 30, 2019 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 2,468,930 SARs vested as to 25% of the SARs on February 9, 2017, with the remainder vesting in 36 equal monthly installments thereafter.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

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March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherStock Appreciation Rights · Derivative 4,526,360 $0.00 Strike: $6.10 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,526,360 shares

Expires 2023-02-09

F5 · shares: Each stock appreciation right (SAR) represents the right to receive, upon exercise, shares of the Issuer's Common Stock (and, after the conversion noted in footnote (1), Class B Common Stock) with a value equal to the increase in the fair market value of one share of such stock from the date of grant of the SAR.

F6 · derivative.exercise_date: Of these SARs: (i) 2,057,430 are performance stock appreciation rights (PSARs) that vested on January 30, 2019 based upon the achievement of certain financial targets and total stockholder return, each over a three-year period, as determined by the Issuer's board of directors; and (ii) 2,468,930 SARs vested as to 25% of the SARs on February 9, 2017, with the remainder vesting in 36 equal monthly installments thereafter.

F1 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, 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.

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March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherClass B Common Stock · Derivative 1,638,590 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,638,590

Underlying: Class A Common Stock · 1,638,590 shares

Expires not disclosed

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F4 · ownership.nature: The shares are held by Charles V. Bergh, as trustee of the Charles Bergh 2019 Trust UA 2/25/2019.

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March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherClass B Common Stock · Derivative 477,780 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 499,870

Underlying: Class A Common · 477,780 shares

Expires not disclosed

F2 · security: This Form 4/A is being filed to correct the disclosure relating to 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. As a result, certain subsequent instances of withholding of shares to satisfy tax liabilities and conversions of resulting shares of Class B common stock to Class A common stock were reported solely within Table I.

F3 · security: Each share is represented by a restricted stock unit (RSU) that may be settled in shares of Class B Common Stock. Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement. Of these RSUs, (i) 225,010 RSUs vest on February 1, 2020, (ii) 131,350 RSUs vest in four equal annual installments beginning on January 30, 2019, and (iii) 121,420 RSUs vest in four equal annual installments beginning on January 30, 2020.

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

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March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherClass B Common Stock · Derivative 22,090 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,090

Underlying: Class A Common Stock · 22,090 shares

Expires not disclosed

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, 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.

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March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherCommon Stock 1,638,590 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · security: Immediately prior to the closing of the Issuer's initial public offering, 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.

F4 · ownership.nature: The shares are held by Charles V. Bergh, as trustee of the Charles Bergh 2019 Trust UA 2/25/2019.

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March 25, 2019 Filed Apr 21, 2023 22:28 UTC Amendment
Bergh Charles VDirector · President and CEO
OtherCommon Stock 477,780 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-025250 · doc4a.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · security: Immediately prior to the closing of the Issuer's initial public offering, 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 · security: This Form 4/A is being filed to correct the disclosure relating to 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. As a result, certain subsequent instances of withholding of shares to satisfy tax liabilities and conversions of resulting shares of Class B common stock to Class A common stock were reported solely within Table I.

F3 · shares: Each share is represented by a restricted stock unit (RSU) that may be settled in shares of Class B Common Stock. Each RSU represents a contingent right to receive one share of the Issuer's Class B Common Stock upon settlement. Of these RSUs, (i) 225,010 RSUs vest on February 1, 2020, (ii) 131,350 RSUs vest in four equal annual installments beginning on January 30, 2019, and (iii) 121,420 RSUs vest in four equal annual installments beginning on January 30, 2020.

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