SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
|
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
| C/O ARGONAUT SECURITIES COMPANY |
| 1155 BATTERY STREET |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
LEVI STRAUSS & CO
[ LEVI ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year)
08/08/2024
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Class B Common Stock |
|
08/08/2024 |
|
J
|
|
|
118,794 |
|
|
Class A Common Stock |
118,794 |
$17.52
|
14,008,684 |
D |
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| Class B Common Stock |
|
08/08/2024 |
|
J
|
|
118,794 |
|
|
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Class A Common Stock |
118,794 |
$17.52
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20,754,957 |
I |
See Footnote
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| Class B Common Stock |
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08/08/2024 |
|
S
|
|
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26,269 |
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Class A Common Stock |
26,269 |
$17.52
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14,008,684 |
D |
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| Class B Common Stock |
|
|
|
|
|
|
|
|
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Class A Common Stock |
|
|
7,074,430 |
I |
See Footnote
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| Class B Common Stock |
|
|
|
|
|
|
|
|
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Class A Common Stock |
|
|
844,680 |
I |
See Footnote
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| Explanation of Responses: |
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/s/ Joan L. Grant as Attorney-in-fact for Margaret E. Haas |
08/12/2024 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
LIMITED POWER OF ATTORNEY
The undersigned hereby makes,
constitutes and appoints each of Parker B. Phillips, Minna B. Baughman, Patrick R. McCabe, Joan L. Grant and Shartsis Friese LLP, each
acting individually, as the undersigned’s true and lawful attorney-in-fact, with full power and authority as hereinafter described
on behalf of and in the name, place and stead of the undersigned to:
A. prepare, execute, acknowledge,
deliver and file Forms ID, Schedules 13D and 13G, and Forms 3, 4 and 5 (including any amendments thereto and any related documents) with
the United States Securities and Exchange Commission and any national securities exchanges relating to securities of Levi Strauss &
Co. (“LS&Co.”), as considered necessary or advisable under Regulation S-T and Sections 13(d) and 16(a) of the Securities
Exchange Act of 1934 and the rules and regulations thereunder, as amended from time to time (the “Exchange Act”); and
B. seek or obtain,
as the undersigned’s representative and on the undersigned’s behalf, information on transactions in the securities of LS&Co.
from any person, including brokers and transfer agents, and the undersigned hereby authorizes any such person to release any such information
to any such attorney-in-fact and approves and ratifies any such release of information; and
C. perform any and
all other acts that in the discretion of such attorney-in-fact are necessary or desirable for and on behalf of the undersigned in connection
with the foregoing.
The undersigned acknowledges
that:
1. this Limited Power
of Attorney authorizes, but does not require, each such attorney-in-fact to act in his or her discretion on information provided to him
or her without independent verification of such information;
2. any documents prepared
and/or executed by any such attorney-in-fact on behalf of the undersigned pursuant to this Limited Power of Attorney will be in such form
and will contain such information and disclosure as such attorney-in-fact, in his or her discretion, deems necessary or desirable;
3. none of such attorneys-in-fact
assumes (a) any liability for the undersigned’s responsibility to comply with Exchange Act requirements or the requirements of any
other laws, (b) any liability of the undersigned for any failure to comply with such requirements, or (c) any obligation or liability
of the undersigned for profit disgorgement under Section 16(b) of the Exchange Act; and
4. this Limited Power
of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned’s obligations under the Exchange
Act or any other laws, including without limitation, the reporting requirements under Section 16 of the Exchange Act.
The undersigned hereby gives
and grants each of the foregoing attorneys-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite,
necessary or appropriate to be done in and about the foregoing matters as fully to all intents and purposes as the undersigned might or
could do if present, hereby ratifying all that each such attorney-in-fact of, for and on behalf of the undersigned, shall lawfully do
or cause to be done under this Limited Power of Attorney.
This Limited Power of Attorney
shall remain in full force and effect until revoked by the undersigned in a signed writing delivered to each such attorney-in-fact.
The undersigned has executed
this Limited Power of Attorney as of February 11, 2021.
/s/ Margaret E. Haas
Signature
Print Name: Margaret E. Haas
LIMITED POWER OF ATTORNEY
The undersigned hereby makes,
constitutes and appoints each of Parker B. Phillips, Minna B. Baughman, Patrick R. McCabe, Joan L. Grant and Shartsis Friese LLP, each
acting individually, as the undersigned’s true and lawful attorney-in-fact, with full power and authority as hereinafter described
on behalf of and in the name, place and stead of the undersigned to:
A. prepare, execute, acknowledge,
deliver and file Forms ID, Schedules 13D and 13G, and Forms 3, 4 and 5 (including any amendments thereto and any related documents) with
the United States Securities and Exchange Commission and any national securities exchanges relating to securities of Levi Strauss &
Co. (“LS&Co.”), as considered necessary or advisable under Regulation S-T and Sections 13(d) and 16(a) of the Securities
Exchange Act of 1934 and the rules and regulations thereunder, as amended from time to time (the “Exchange Act”); and
B. seek or obtain,
as the undersigned’s representative and on the undersigned’s behalf, information on transactions in the securities of LS&Co.
from any person, including brokers and transfer agents, and the undersigned hereby authorizes any such person to release any such information
to any such attorney-in-fact and approves and ratifies any such release of information; and
C. perform any and
all other acts that in the discretion of such attorney-in-fact are necessary or desirable for and on behalf of the undersigned in connection
with the foregoing.
The undersigned acknowledges
that:
1. this Limited Power
of Attorney authorizes, but does not require, each such attorney-in-fact to act in his or her discretion on information provided to him
or her without independent verification of such information;
2. any documents prepared
and/or executed by any such attorney-in-fact on behalf of the undersigned pursuant to this Limited Power of Attorney will be in such form
and will contain such information and disclosure as such attorney-in-fact, in his or her discretion, deems necessary or desirable;
3. none of such attorneys-in-fact
assumes (a) any liability for the undersigned’s responsibility to comply with Exchange Act requirements or the requirements of any
other laws, (b) any liability of the undersigned for any failure to comply with such requirements, or (c) any obligation or liability
of the undersigned for profit disgorgement under Section 16(b) of the Exchange Act; and
4. this Limited Power
of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned’s obligations under the Exchange
Act or any other laws, including without limitation, the reporting requirements under Section 16 of the Exchange Act.
The undersigned hereby gives
and grants each of the foregoing attorneys-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite,
necessary or appropriate to be done in and about the foregoing matters as fully to all intents and purposes as the undersigned might or
could do if present, hereby ratifying all that each such attorney-in-fact of, for and on behalf of the undersigned, shall lawfully do
or cause to be done under this Limited Power of Attorney.
This Limited Power of Attorney
shall remain in full force and effect until revoked by the undersigned in a signed writing delivered to each such attorney-in-fact.
The undersigned has executed
this Limited Power of Attorney as of February 11, 2021.
/s/ Margaret E. Haas
Signature
Print Name: Margaret E. Haas
Levi Strauss (NYSE:LEVI)
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