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 | 8/25/2017 | C | 59916 | A | $0 | 59916 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 8/25/2017 | S (2) | 41018 | D | $166.611 (3) | 18898 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 8/25/2017 | S (2) | 18798 | D | $167.5242 (4) | 100 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 8/25/2017 | S (2) | 100 | D | $168.26 | 0 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 8/25/2017 | C | 37447 | A | $0 | 37447 | I | By CZI Holdings, LLC (5) | ||
Class A Common Stock | 8/25/2017 | S (2) | 25941 | D | $166.6218 (6) | 11506 | I | By CZI Holdings, LLC (5) | ||
Class A Common Stock | 8/25/2017 | S (2) | 11506 | D | $167.5266 (7) | 0 | I | By CZI Holdings, LLC (5) | ||
Class A Common Stock | 8/25/2017 | S (8) | 10978 | D | $166.656 (9) | 723106 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (10) | ||
Class A Common Stock | 8/25/2017 | S (8) | 4000 | D | $167.5888 (11) | 719106 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (10) | ||
Class A Common Stock | 8/25/2017 | S (8) | 14274 | D | $166.6021 (12) | 816233 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (13) | ||
Class A Common Stock | 8/25/2017 | S (8) | 727 | D | $167.5827 (14) | 815506 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (13) | ||
Class A Common Stock | 8/28/2017 | C | 59852 | A | $0 | 59852 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 8/28/2017 | S (2) | 50004 | D | $166.9905 (15) | 9848 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 8/28/2017 | S (2) | 9848 | D | $167.5103 (16) | 0 | I | By Chan Zuckerberg Foundation (1) | ||
Class A Common Stock | 8/28/2017 | C | 37408 | A | $0 | 37408 | I | By CZI Holdings, LLC (5) | ||
Class A Common Stock | 8/28/2017 | S (2) | 32758 | D | $167.0079 (17) | 4650 | I | By CZI Holdings, LLC (5) | ||
Class A Common Stock | 8/28/2017 | S (2) | 4650 | D | $167.5324 (18) | 0 | I | By CZI Holdings, LLC (5) | ||
Class A Common Stock | 8/28/2017 | S (8) | 12561 | D | $167.014 (19) | 706545 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (10) | ||
Class A Common Stock | 8/28/2017 | S (8) | 2400 | D | $167.505 (20) | 704145 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (10) | ||
Class A Common Stock | 8/28/2017 | S (8) | 12562 | D | $167.0089 (21) | 802944 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (13) | ||
Class A Common Stock | 8/28/2017 | S (8) | 2400 | D | $167.5032 (22) | 800544 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (13) | ||
Class A Common Stock | 468566 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg Trust Dated July 7, 2006 (23) |
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 (24) | (24) | 8/25/2017 | C | 59916 | (24) | (24) | Class A Common Stock | 59916 | $0 | 2767590 | I | By Chan Zuckerberg Foundation (1) | |||
Class B Common Stock (24) | (24) | 8/25/2017 | C | 37447 | (24) | (24) | Class A Common Stock | 37447 | $0 | 400986902 | I | By CZI Holdings, LLC (5) | |||
Class B Common Stock (24) | (24) | 8/28/2017 | C | 59852 | (24) | (24) | Class A Common Stock | 59852 | $0 | 2707738 | I | By Chan Zuckerberg Foundation (1) | |||
Class B Common Stock (24) | (24) | 8/28/2017 | C | 37408 | (24) | (24) | Class A Common Stock | 37408 | $0 | 400949494 | I | By CZI Holdings, LLC (5) | |||
Class B Common Stock (24) | (24) | (24) | (24) | Class A Common Stock | 5207492 | 5207492 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg Trust Dated July 7, 2006 (23) |
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 | 8/29/2017 | |
** 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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