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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class B Common Stock (6) | (6) | 05/05/2014 | G | V | 28,200 | (6) | (6) | Class A Common Stock | 28,200 | $ 0 | 3,297,765 | I | By Mark Zuckerberg, Trustee of the Mark Zuckerberg 2008 Annuity Trust dated March 13, 2008 (7) | ||
Class B Common Stock (6) | (6) | 05/05/2014 | G | V | 28,200 | (6) | (6) | Class A Common Stock | 28,200 | $ 0 | 373,871,320 | I | BY Mark Zuckerberg, Trustee of the Mark Zuckerberg Trust dated July 7, 2006 (2) | ||
Class B Common Stock (6) | (6) | 05/08/2014 | G | V | 3,999,000 | (6) | (6) | Class A Common Stock | 3,999,000 | $ 0 | 45,083,762 | D | |||
Class B Common Stock (6) | (6) | 05/08/2014 | G | V | 3,999,000 | (6) | (6) | Class A Common Stock | 3,999,000 | $ 0 | 377,870,320 | I | By Mark Zuckerberg, Trustee of the Mark Zuckerberg Trust dated July 7, 2006 (2) | ||
Class B Common Stock (6) | (6) | 05/08/2014 | C | 3,999,000 (8) | (6) | (6) | Class A Common Stock | 3,999,000 | $ 0 | 373,871,320 | I | By Mark Zuckerberg, Trustee of the Mark Zuckerberg Trust dated July 7, 2006 (2) | |||
Class B Common Stock (6) | (6) | (6) | (6) | Class A Common Stock | 3 | 3 | I | By Mark Zuckerberg, Trustee of the Openness Trust dated April 2, 2012 (9) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zuckerberg Mark C/O FACEBOOK, INC. 1601 WILLOW ROAD MENLO PARK, CA 94025 |
X | X | COB and CEO |
/s/ Michael Johnson as attorney-in-fact for Mark Zuckerberg | 05/12/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents the number of shares that were acquired upon conversion of Class B Common Stock to Class A Common Stock at the election of the holder. |
(2) | Shares held of record by Mark Zuckerberg, Trustee of The Mark Zuckerberg Trust dated July 7, 2006. |
(3) | Shares held of record by Mark Zuckerberg, Trustee of The Mark Zuckerberg 2014 GRAT No. 1, dated 5/8/2014. |
(4) | Shares held of record by Mark Zuckerberg, Trustee of The Mark Zuckerberg 2014 GRAT No. 2, dated 5/8/2014. |
(5) | Shares held of record by Mark Zuckerberg, Trustee of The Mark Zuckerberg 2014 GRAT No. 3, dated 5/8/2014. |
(6) | The Class B Common Stock is convertible into the issuer's Class A Common Stock on a 1-for-1 basis (a) at the holder's option or (b) upon certain transfers of such shares, and has no expiration date. |
(7) | Shares held of record by Mark Zuckerberg, Trustee of the Mark Zuckerberg 2008 Annuity Trust dated March 13, 2008. |
(8) | The holder elected to convert the shares of Class B Common Stock into Class A Common Stock on a 1-for-1 basis. |
(9) | Shares held of record by Mark Zuckerberg, Trustee of the Openness Trust dated April 2, 2012. |