Statement of Changes in Beneficial Ownership (4)
November 23 2021 - 4:29PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
Baker Paula |
2. Issuer Name and Ticker or Trading Symbol
Leslie's, Inc.
[
LESL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Revenue Officer |
(Last)
(First)
(Middle)
2005 EAST INDIAN SCHOOL ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/21/2021 |
(Street)
PHOENIX, AZ 85016
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.001 per share | 11/21/2021 | | M | | 70505 | A | $0.00 | 221676 | D | |
Common Stock, par value $0.001 per share | 11/22/2021 | | S(1) | | 25156 (1) | D(1) | $20.70 | 196520 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | $0.00 (2) | 11/21/2021 | | M | | | 70505 | (3) | (3) | Common Stock | 70505 | $0.00 | 141012 | D | |
Explanation of Responses: |
(1) | Represents shares of Common Stock automatically sold by a third party equity administrator to satisfy tax liability upon settlement of restricted stock units ("RSUs"). |
(2) | Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's Common Stock. |
(3) | Represents a grant of RSUs, of which 70,505 RSUs vested on November 21, 2021 and of which the remaining 141,012 RSUs will vest in two equal annual installments on November 21st of each of 2022 and 2023, subject to Ms. Baker's continuous employment or service with the Issuer or an affiliate until the applicable vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Baker Paula 2005 EAST INDIAN SCHOOL ROAD PHOENIX, AZ 85016 |
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| Chief Revenue Officer |
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Signatures
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/s/ Brad A. Gazaway, as Attorney-in-Fact for Paula F. Baker | | 11/23/2021 |
**Signature of Reporting Person | Date |
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