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Ortega Steven L – ‘4’ for 4/21/21 re: Leslie’s, Inc.

On:  Friday, 4/23/21, at 4:03pm ET   ·   For:  4/21/21   ·   Accession #:  1209191-21-28102   ·   File #:  1-39667

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/23/21  Ortega Steven L                   4                      1:8K   Leslie’s, Inc.                    DONNELLEY FIN… File16/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Form 4 Submission -- doc4.xml/3.6                   HTML      3K 




        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Form 4 Submission
 
FORM 4UNITED 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
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Ortega Steven L

(Last)(First)(Middle)
2005 EAST INDIAN SCHOOL ROAD

(Street)
PHOENIXAZ85016

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
Leslie's, Inc. [ LESL ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
4/21/21
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock, par value $0.001 per share 4/21/21M 312,783A$0.002,346,136D
Common Stock, par value $0.001 per share 4/22/21S (1) 115,566 (1)D (1)$25.822,230,570D
Common Stock, par value $0.001 per share 587,959ISee footnote. (2)
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) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction 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 (Month/Day/Year)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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units$0.00 (3) 4/21/21M 312,783 (4) (4)Common Stock312,783$0.00277,202D
Explanation of Responses:
(1)  Represents shares of Common Stock sold to satisfy tax liability upon settlement of restricted stock units ("RSUs").
(2)  The shares are held by the Mary Ann E. and Steven L. Ortega Family Trust.
(3)  Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's Common Stock.
(4)  Represents grants of RSUs, of which 312,783 vested, and of which (a) subject to Mr. Ortega's continuous employment or service with the Issuer or an affiliate until the applicable vesting date, 269,849 of the RSUs will vest if, and only if, the volume weighted average trading price of a share of the Issuer's Common Stock equals $9.82 at the end of any rolling twenty (20)-day trading period commencing on or after May 2, 2021, and (b) subject to Mr. Ortega's continuous service as a member of the board of the Issuer, 7,353 of the RSUs will vest on November 2, 2021.
Remarks:
/s/ Brad A. Gazaway, as Attorney-in-Fact for Steven L. Ortega 4/23/21
** Signature of Reporting PersonDate
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.
____________
Transaction Codes:
    M    Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
    S    Open market or private sale of non-derivative or derivative security.

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