FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
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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 |
C/O FACEBOOK, INC., 1601 WILLOW ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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MENLO PARK, CA 94025 |
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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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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 | 2/27/2017 | C | 73476 | A | $0 | 73476 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 2/27/2017 | S (2) | 26980 | D | $135.4619 (3) | 46496 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 2/27/2017 | S (2) | 44496 | D | $136.4384 (4) | 2000 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 2/27/2017 | S (2) | 2000 | D | $137.1135 (5) | 0 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 2/27/2017 | S (2) | 17039 | D | $135.4657 (6) | 333130 | I | By CZI Holdings, LLC (7) | ||
Class A Common Stock | 2/27/2017 | S (2) | 28783 | D | $136.4679 (8) | 304347 | I | By CZI Holdings, LLC (7) | ||
Class A Common Stock | 2/27/2017 | S (2) | 100 | D | $137.15 | 304247 | I | By CZI Holdings, LLC (7) | ||
Class A Common Stock | 2/27/2017 | S (9) | 13613 | D | $135.4652 (10) | 814257 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 1 Dated 5/8/2014 (11) | ||
Class A Common Stock | 2/27/2017 | S (9) | 22625 | D | $136.4531 (12) | 791632 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 1 Dated 5/8/2014 (11) | ||
Class A Common Stock | 2/27/2017 | S (9) | 500 | D | $137.126 (13) | 791132 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 1 Dated 5/8/2014 (11) | ||
Class A Common Stock | 2/27/2017 | S (9) | 6889 | D | $135.4664 (14) | 1132523 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (15) | ||
Class A Common Stock | 2/27/2017 | S (9) | 11480 | D | $136.4702 (16) | 1121043 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (15) | ||
Class A Common Stock | 2/27/2017 | S (9) | 6872 | D | $135.4627 (17) | 1228972 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (18) | ||
Class A Common Stock | 2/27/2017 | S (9) | 11497 | D | $136.4691 (19) | 1217475 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (18) | ||
Class A Common Stock | 2/28/2017 | C | 73618 | A | $0 | 73618 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 2/28/2017 | S (2) | 34808 | D | $135.5556 (20) | 38810 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 2/28/2017 | S (2) | 38610 | D | $136.0828 (21) | 200 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 2/28/2017 | S (2) | 200 | D | $136.795 (22) | 0 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 2/28/2017 | S (2) | 23139 | D | $135.5718 (23) | 281108 | I | By CZI Holdings, LLC (7) | ||
Class A Common Stock | 2/28/2017 | S (2) | 22871 | D | $136.1075 (24) | 258237 | I | By CZI Holdings, LLC (7) | ||
Class A Common Stock | 2/28/2017 | S (9) | 20145 | D | $135.5923 (25) | 770987 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 1 Dated 5/8/2014 (11) | ||
Class A Common Stock | 2/28/2017 | S (9) | 16663 | D | $136.1326 (26) | 754324 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 1 Dated 5/8/2014 (11) | ||
Class A Common Stock | 2/28/2017 | S (9) | 9603 | D | $135.5886 (27) | 1111440 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (15) | ||
Class A Common Stock | 2/28/2017 | S (9) | 8800 | D | $136.1291 (28) | 1102640 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (15) | ||
Class A Common Stock | 2/28/2017 | S (9) | 10987 | D | $135.6275 (29) | 1206488 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (18) | ||
Class A Common Stock | 2/28/2017 | S (9) | 7416 | D | $136.1683 (30) | 1199072 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (18) |
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 | ||||||||
Class B Common Stock (31) | (31) | 2/27/2017 | C | 73476 | (31) | (31) | Class A Common Stock | 73476 | $0 | 4375478 | I | By Chan Zuckerberg Foundation (1) | |||
Class B Common Stock (31) | (31) | 2/28/2017 | C | 73618 | (31) | (31) | Class A Common Stock | 73618 | $0 | 4301860 | I | By Chan Zuckerberg Foundation (1) | |||
Class B Common Stock (31) | (31) | (31) | (31) | Class A Common Stock | 5207492 | 5207492 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg Trust Dated July 7, 2006 (32) | |||||||
Class B Common Stock (31) | (31) | (31) | (31) | Class A Common Stock | 401687563 | 401687563 | I | By CZI Holdings, LLC (7) |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Zuckerberg Mark
C/O FACEBOOK, INC. 1601 WILLOW ROAD MENLO PARK, CA 94025 |
X | X | COB and CEO |
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Signatures
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/s/ Michael Johnson as attorney-in-fact for Mark Zuckerberg | 3/1/2017 | |
** Signature of Reporting Person |
Date
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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. |
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