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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
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
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Zuckerberg Mark |
2. Issuer Name
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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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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 |
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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 | 4/8/2019 | S (1) | 6192 | D | $175.1693 (2) | 11143855 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 4/8/2019 | C | 760 | A | $0 | 760 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 4/8/2019 | S (1) | 760 | D | $175.109 (5) | 0 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 4/9/2019 | S (1) | 5349 | D | $176.1041 (6) | 11138506 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 4/9/2019 | S (1) | 35189 | D | $177.2952 (7) | 11103317 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 4/9/2019 | S (1) | 31533 | D | $178.2166 (8) | 11071784 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 4/9/2019 | S (1) | 22929 | D | $178.7633 (9) | 11048855 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 4/9/2019 | C | 13000 | A | $0 | 13000 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 4/9/2019 | S (1) | 792 | D | $176.1506 (10) | 12208 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 4/9/2019 | S (1) | 5590 | D | $177.3144 (11) | 6618 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 4/9/2019 | S (1) | 5213 | D | $178.4507 (12) | 1405 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 4/9/2019 | S (1) | 1405 | D | $178.8087 (13) | 0 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 4/10/2019 | S (1) | 64060 | D | $177.2237 (14) | 10984795 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 4/10/2019 | S (1) | 30217 | D | $177.9194 (15) | 10954578 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 4/10/2019 | S (1) | 723 | D | $178.7253 (16) | 10953855 | I | By Chan Zuckerberg Foundation (3) | ||
| Class A Common Stock | 4/10/2019 | C | 13000 | A | $0 | 13000 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 4/10/2019 | S (1) | 10302 | D | $177.2845 (17) | 2698 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 4/10/2019 | S (1) | 2698 | D | $178.1077 (18) | 0 | I | By CZI Holdings, LLC (4) | ||
| Class A Common Stock | 236316 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 2 Dated 5/8/2014 (19) | |||||||
| Class A Common Stock | 297331 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg 2014 GRAT No. 3 Dated 5/8/2014 (20) | |||||||
| Class A Common Stock | 181569 | I | By Chan Zuckerberg Advocacy (21) | |||||||
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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 (22) | (22) | 4/8/2019 | C | 760 | (22) | (22) | Class A Common Stock | 760 | $0 | 358103886 | I | By CZI Holdings, LLC (4) | |||
| Class B Common Stock (22) | (22) | 4/9/2019 | C | 13000 | (22) | (22) | Class A Common Stock | 13000 | $0 | 358090886 | I | By CZI Holdings, LLC (4) | |||
| Class B Common Stock (22) | (22) | 4/10/2019 | C | 13000 | (22) | (22) | Class A Common Stock | 13000 | $0 | 358077886 | I | By CZI Holdings, LLC (4) | |||
| Class B Common Stock (22) | (22) | (22) | (22) | Class A Common Stock | 1908602 | 1908602 | I | By Chan Zuckerberg Foundation (3) | |||||||
| Class B Common Stock (22) | (22) | (22) | (22) | Class A Common Stock | 5676058 | 5676058 | I | By Mark Zuckerberg, Trustee Of The Mark Zuckerberg Trust Dated July 7, 2006 (23) | |||||||
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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/ Michael Johnson as attorney-in-fact for Mark Zuckerberg | 4/10/2019 | |
| ** 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. |
| 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. | |