| 1. Name and Address of Reporting Person * Zuckerberg Mark | 2. Issuer Name and Ticker or Trading Symbol Facebook Inc [ FB ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) COB and CEO |
|
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
|
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form 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. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. 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) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Class A Common Stock | 10/31/2019 | S(1) | 21784 | D | $191.9076 (2) | 4631180 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 36752 | D | $192.7383 (4) | 4594428 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 19801 | D | $193.8154 (5) | 4574627 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 4736 | D | $194.6893 (6) | 4569891 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 7134 | D | $195.7677 (7) | 4562757 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 5201 | D | $196.794 (8) | 4557556 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 1025 | D | $197.8341 (9) | 4556531 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 10/31/2019 | C | 19457 | A | $0 | 19457 | I | By CZI Holdings, LLC (10) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 4897 | D | $191.947 (11) | 14560 | I | By CZI Holdings, LLC (10) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 6587 | D | $192.713 (12) | 7973 | I | By CZI Holdings, LLC (10) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 4521 | D | $193.7654 (13) | 3452 | I | By CZI Holdings, LLC (10) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 748 | D | $194.9591 (14) | 2704 | I | By CZI Holdings, LLC (10) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 1398 | D | $195.8546 (15) | 1306 | I | By CZI Holdings, LLC (10) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 876 | D | $196.8656 (16) | 430 | I | By CZI Holdings, LLC (10) | ||
| Class A Common Stock | 10/31/2019 | S(1) | 430 | D | $197.886 (17) | 0 | I | By CZI Holdings, LLC (10) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 760 | D | $192.1322 (19) | 101849 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (20) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 414 | D | $193.0257 (21) | 101435 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (20) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 334 | D | $194.1837 (22) | 101101 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (20) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 100 | D | $195.305 | 101001 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (20) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 316 | D | $196.60 | 100685 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (20) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 126 | D | $197.8563 (23) | 100559 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (20) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 924 | D | $192.088 (24) | 132635 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (25) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 601 | D | $193.2771 (26) | 132034 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (25) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 251 | D | $194.3931 (27) | 131783 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (25) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 181 | D | $195.31 | 131602 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (25) | ||
| Class A Common Stock | 10/31/2019 | S(18) | 493 | D | $196.9071 (28) | 131109 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (25) | ||
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||
|
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 | ||||||||
| Class B Common Stock (29) | (29) | 10/31/2019 | C | 19457 | (29) | (29) | Class A Common Stock | 19457 | $0 | 356506849 | I | By CZI Holdings, LLC (10) | |||
| Class B Common Stock (29) | (29) | (29) | (29) | Class A Common Stock | 1908602 | 1908602 | I | By Chan Zuckerberg Foundation (3) | |||||||
| Class B Common Stock (29) | (29) | (29) | (29) | Class A Common Stock | 5676058 | 5676058 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg Trust Dated July 7, 2006 (30) | |||||||
|
Remarks: One of two Forms 4 being filed to report transactions by the reporting person occurring on October 31, 2019. The holdings for Chan Zuckerberg Advocacy are reported on Form 2 of 2. |
|
Reporting Owners |
|||||
| Reporting Owner Name / Address |
|
||||
| Director | 10% Owner | Officer | Other | ||
|
Zuckerberg Mark C/O FACEBOOK, INC. 1601 WILLOW ROAD MENLO PARK, CA 94025 |
X | X | COB and CEO | ||
|
Signatures |
||
| /s/ Michael Johnson as attorney-in-fact for Mark Zuckerberg | 11/4/2019 | |
| **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 control number. | |