| 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 |
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3. Date of Earliest Transaction
(MM/DD/YYYY)
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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) |
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 | 9/24/2019 | S(1) | 23128 | D | $181.1264 (2) | 7091997 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 12848 | D | $181.8487 (4) | 7079149 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 3052 | D | $182.9864 (5) | 7076097 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 3324 | D | $184.4521 (6) | 7072773 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 12330 | D | $185.2194 (7) | 7060443 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 20660 | D | $186.3032 (8) | 7039783 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 14377 | D | $186.9801 (9) | 7025406 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 2516 | D | $187.9164 (10) | 7022890 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 9/24/2019 | C | 18159 | A | $0 | 18159 | I | By CZI Holdings, LLC (11) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 3980 | D | $181.0048 (12) | 14179 | I | By CZI Holdings, LLC (11) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 3187 | D | $181.8101 (13) | 10992 | I | By CZI Holdings, LLC (11) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 302 | D | $183.0784 (14) | 10690 | I | By CZI Holdings, LLC (11) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 687 | D | $184.2054 (15) | 10003 | I | By CZI Holdings, LLC (11) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 2607 | D | $185.2712 (16) | 7396 | I | By CZI Holdings, LLC (11) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 4727 | D | $186.3941 (17) | 2669 | I | By CZI Holdings, LLC (11) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 2396 | D | $187.0783 (18) | 273 | I | By CZI Holdings, LLC (11) | ||
| Class A Common Stock | 9/24/2019 | S(1) | 273 | D | $187.9929 (19) | 0 | I | By CZI Holdings, LLC (11) | ||
| Class A Common Stock | 9/24/2019 | S(20) | 686 | D | $181.4048 (21) | 149980 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (22) | ||
| Class A Common Stock | 9/24/2019 | S(20) | 100 | D | $182.145 | 149880 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (22) | ||
| Class A Common Stock | 9/24/2019 | S(20) | 186 | D | $184.6003 (23) | 149694 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (22) | ||
| Class A Common Stock | 9/24/2019 | S(20) | 430 | D | $186.013 (24) | 149264 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (22) | ||
| Class A Common Stock | 9/24/2019 | S(20) | 326 | D | $186.8025 (25) | 148938 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (22) | ||
| Class A Common Stock | 9/24/2019 | S(20) | 122 | D | $188.00 | 148816 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (22) | ||
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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 (26) | (26) | 9/24/2019 | C | 18159 | (26) | (26) | Class A Common Stock | 18159 | $0 | 356993621 | I | By CZI Holdings, LLC (11) | |||
| Class B Common Stock (26) | (26) | (26) | (26) | Class A Common Stock | 1908602 | 1908602 | I | By Chan Zuckerberg Foundation (3) | |||||||
| Class B Common Stock (26) | (26) | (26) | (26) | Class A Common Stock | 5676058 | 5676058 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg Trust Dated July 7, 2006 (27) | |||||||
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Remarks: One of two Forms 4 being filed to report transactions by the reporting person occurring on September 24, 2019. The holdings for The Mark Zuckerberg 2014 GRAT No. 3 dated 5/8/2014 and Chan Zuckerberg Advocacy are reported on Form 2 of 2. |
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Reporting Owners |
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| Reporting Owner Name / Address |
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| Director | 10% Owner | Officer | Other | ||
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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/ David Kling as attorney-in-fact for Mark Zuckerberg | 9/25/2019 | |
| **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. | |