Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LEVI STRAUSS & COLEVI · Entity 3651 | EVP & President, LSA | March 11, 2021 | March 12, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
LEVI STRAUSS & CO
Report date March 11, 2021 · Filed March 12, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 31,776 |
Reported balance
After 2021-03-11 transaction · row 1
1 source rowRow 1 · 2021-03-11 · Sale · Disposed 47,897 · Balance 31,776 F1: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan. F2: Price represents the weighted average sale price of the shares sold. The sale price ranged from $23.99 to $24.60 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. |
| Class A Common StockSEC Table I · non-derivative | IndirectSee Footnote | 28,350 |
Reported balance
Holding disclosure · report date 2021-03-11 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 28,350 F3: The shares are held by the Rosen Family Trust, of which the Reporting Person is a co-trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction being reported was effected pursuant to a previously established Rule 10b5-1 trading plan.
F2: Price represents the weighted average sale price of the shares sold. The sale price ranged from $23.99 to $24.60 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.
F3: The shares are held by the Rosen Family Trust, of which the Reporting Person is a co-trustee.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 25, 2019 Filed Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherStock Appreciation Rights · Derivative | 26,100 | $0.00 Strike: $7.43 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 12 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 26,100 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 with a value equal to the increase in the fair market value of one share of Common Stock from the date of grant of the SAR. F11 · derivative.exercise_date: 100% of these SARs 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. Read SEC document |
| March 25, 2019 Filed Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherStock Appreciation Rights · Derivative | 63,930 | $0.00 Strike: $6.90 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 11 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,930 Underlying: Class B Common Stock · 63,930 shares Expires 2024-02-01 F7 · shares: Each SAR represents the right to receive, upon exercise, shares of the Issuer's Class B Common Stock with a value equal to the increase in the fair market value of one share of Class B Common Stock from the date of grant of the SAR. F10 · derivative.exercise_date: The original grant was for 85,240 SARs, of which 21,310 SARs were exercised. 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. F4 · derivative.underlying: 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 Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherStock Appreciation Rights · Derivative | 63,930 | $0.00 Strike: $6.90 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 10 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 63,930 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 with a value equal to the increase in the fair market value of one share of Common Stock from the date of grant of the SAR. F10 · derivative.exercise_date: The original grant was for 85,240 SARs, of which 21,310 SARs were exercised. 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. Read SEC document |
| March 25, 2019 Filed Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherStock Appreciation Rights · Derivative | 57,380 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 9 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,380 Underlying: Class B Common Stock · 57,380 shares Expires 2025-01-30 F7 · shares: Each SAR represents the right to receive, upon exercise, shares of the Issuer's Class B Common Stock with a value equal to the increase in the fair market value of one share of Class B Common 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. F4 · derivative.underlying: 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 Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherStock Appreciation Rights · Derivative | 57,380 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 8 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 57,380 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 with a value equal to the increase in the fair market value of one share of Common 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. Read SEC document |
| March 25, 2019 Filed Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherStock Appreciation Rights · Derivative | 41,920 | $0.00 Strike: $14.88 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 7 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,920 Underlying: Class B Common Stock · 41,920 shares Expires 2029-01-29 F7 · shares: Each SAR represents the right to receive, upon exercise, shares of the Issuer's Class B Common Stock with a value equal to the increase in the fair market value of one share of Class B Common 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. F4 · derivative.underlying: 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 Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherStock Appreciation Rights · Derivative | 41,920 | $0.00 Strike: $14.88 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 6 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 41,920 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 with a value equal to the increase in the fair market value of one share of Common 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. Read SEC document |
| March 25, 2019 Filed Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherStock Appreciation Rights · Derivative | 257,180 | $0.00 Strike: $6.10 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 5 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,180 Underlying: Class B Common Stock · 257,180 shares Expires 2023-02-09 F7 · shares: Each SAR represents the right to receive, upon exercise, shares of the Issuer's Class B Common Stock with a value equal to the increase in the fair market value of one share of Class B Common Stock from the date of grant of the SAR. F6 · derivative.exercise_date: Of these SARs: (i) 174,350 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 are immediately exercisable; and (ii) 82,830 are time-based SARs from an original grant of 209,230 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. F4 · derivative.underlying: 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 Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherStock Appreciation Rights · Derivative | 257,180 | $0.00 Strike: $6.10 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 4 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 257,180 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 with a value equal to the increase in the fair market value of one share of Common Stock from the date of grant of the SAR. F6 · derivative.exercise_date: Of these SARs: (i) 174,350 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 are immediately exercisable; and (ii) 82,830 are time-based SARs from an original grant of 209,230 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. Read SEC document |
| March 25, 2019 Filed Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherClass B Common Stock · Derivative | 115,030 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · derivative · entry 3 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,030 Underlying: Class A Common Stock · 115,030 shares Expires not disclosed 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. F4 · security: 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 · 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. F4 · 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. F4 · 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 |
| March 25, 2019 Filed Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherClass A Common Stock | 44,230 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · nonDerivative · entry 2 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,230 F1 · shares: 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. F3 · shares: Each share is represented by an RSU. Each RSU represents a contingent right to receive one share 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. Of these RSUs, (i) 19,920 RSUs vest on February 1, 2020, (ii) 11,710 RSUs represent the unvested portion of an RSU award that vests in four equal annual installments beginning on January 30, 2019, and (iii) 12,600 RSUs vest in four equal annual installments beginning on January 30, 2020. F1 · 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. Read SEC document |
| March 25, 2019 Filed Mar 28, 2019 00:24 UTC | LEVI STRAUSS & CO LEVI · Entity 3651 | OtherCommon Stock | 159,260 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-021548 · doc4.xml · nonDerivative · entry 1 Rosen Marc · CIK 0001768725 · EVP & Pres. Direct-to-Customer 10b5-1 filing: Not disclosed 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. F1 · shares: 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. F2 · shares: 44,230 of the shares are represented by restricted stock units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement. Of the 44,230 RSUs, (i) 19,920 RSUs vest on February 1, 2020, (ii) 11,710 RSUs represent the unvested portion of an RSU award that vests in four equal annual installments beginning on January 30, 2019, and (iii) 12,600 RSUs vest in four equal annual installments beginning on January 30, 2020. F1 · 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. 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.