Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
(Amendment No. 1)*
Levi Strauss & Co.
(Name of Issuer)
Class A Common Stock, $0.001 par value per share
(Title of Class of Securities)
52736R102
(CUSIP Number)
December 31, 2020
(Date of Event which Requires Filing
of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
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Rule 13d-1(b)
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[ ]
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Rule 13d-1(c)
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[X]
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Rule 13d-1(d)
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*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the
liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
1
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CUSIP No. 52736R102
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13G
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Page 2 of 6 Pages
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1
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NAME OF REPORTING PERSON
Kathryn A. Hall
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐
(b) ☒
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF
SHARES BENEFICIALLY OWNED BY
EACH REPORTING PERSON WITH:
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5
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SOLE VOTING POWER
3,737,530
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6
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SHARED VOTING POWER
1,065,940
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7
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SOLE DISPOSITIVE POWER
3,737,530
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8
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SHARED DISPOSITIVE POWER
1,065,940
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,803,470
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.9%
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12
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TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT
2
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Item 1(a)
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Name of Issuer:
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Levi Strauss & Co.
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Item 1(b)
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Address of Issuer's Principal Executive Offices:
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1155 Battery Street
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San Francisco, CA 94111
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Item 2(a)
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Name of Person Filing:
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Kathryn A. Hall |
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Item 2(b)
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Address or Principal Business Office or, if none, residence:
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One Maritime Plaza, 6th Floor
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San Francisco, CA 94111
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Item 2(c)
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Citizenship:
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United States
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Item 2(d)
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Title of Class of Securities:
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Class A Common Stock, $0.001 par value per share
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Item 2(e)
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CUSIP Number:
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52736R102
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Item 3
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If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or
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(c), check whether the person filing is a:
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Not applicable.
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3
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Item 4
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Ownership:
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Provide the following information regarding the aggregate number and percentage of the class of securities of issuer identified in Item 1.
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(a)
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Amount beneficially owned: 4,803,470
The following shares are indirectly beneficially owned by Ms. Hall. Each share of Class B Common Stock is convertible into one share of Class A Common Stock.
(i) 1,410,270 shares of Class A Common Stock and
2,115,410 shares of Class B Common Stock held by a limited liability company, of which Ms. Hall is Manager, for the benefit of others and for which Ms. Hall has sole voting and investment power.
(ii) 33,000 shares of Class A Common Stock and 178,850
shares of Class B Common Stock held by trusts, of which Ms. Hall is Trustee, for the benefit of others and for which Ms. Hall has sole voting and investment power.
(iii) 293,760 shares of Class A Common Stock and 772,180
shares of Class B Common Stock held by trusts, of which Ms. Hall is Co-Trustee, for the benefit of others and for which Ms. Hall has shared voting and investment power.
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(b)
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Percent of class: 6.9%
Based on (x) the 66,461,001 shares of Class A Common Stock outstanding as reported by the Issuer’s 10-Q filed on October 6, 2020, plus (y) the 3,066,440 shares of Class B Common Stock held by the entities
described above in 4(a) as of December 31, 2020, which are treated as converted into Class A Common Stock only for the purpose of computing the percentage ownership of the reporting person.
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(c)
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Number of shares as to which such person has:
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(i)
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Sole power to vote or to direct the vote: 3,737,530
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(ii)
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Shared power to vote or to direct the vote: 1,065,940
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(iii)
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Sole power to dispose or to direct the disposition of: 3,737,530
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(iv)
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Shared power to dispose or to direct the disposition of: 1,065,940
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4
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Item 5
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Ownership of Five Percent or Less of a Class:
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Not applicable.
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Item 6
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Ownership of More than Five Percent on Behalf of Another Person:
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Ms. Hall is the Manager of MTB Illiquid LLC which, as of December 31, 2020, shared beneficial ownership of securities subject to this Schedule 13G representing more
than 5% of the outstanding shares of Class A Common Stock.
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Item 7
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control
Person:
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Not applicable.
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Item 8
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Identification and Classification of Members of the Group:
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Not applicable.
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Item 9
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Notice of Dissolution of Group:
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Not applicable.
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Item 10
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Certification:
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Not applicable.
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5
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: April 19, 2021
/s/ Kathryn A. Hall
Signature
Kathryn A. Hall
Name/Title