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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 | ||||||||
Stock Option (Right to Buy Class B Common Stock) | $ 0.06 | 12/20/2013 | M | 60,000,000 | (4) | 11/07/2015 | Class B Common Stock (5) | 60,000,000 | $ 0 | 0 | D | ||||
Class B Common Stock (5) | (5) | 12/20/2013 | M | 60,000,000 | (5) | (5) | Class A Common Stock | 60,000,000 | $ 0 | 90,432,762 | D | ||||
Class B Common Stock (5) | (5) | 12/20/2013 | C | 18,000,000 | (5) | (5) | Class A Common Stock (6) | 18,000,000 | $ 0 | 373,843,120 (7) | I | By Mark Zuckerberg, Trustee of the Mark Zuckerberg Trust dated July 7, 2006 (2) | |||
Class B Common Stock (5) | (5) | (5) | (5) | Class A Common Stock | 3,325,965 (8) | 3,325,965 (8) | I | By Mark Zuckerberg, Trustee of the Mark Zuckerberg 2008 Annuity Trust dated March 13, 2008 (9) | |||||||
Class B Common Stock (5) | (5) | (5) | (5) | Class A Common Stock | 3 | 3 | I | By Mark Zuckerberg, Trustee of the Openess Trust dated April 12, 2012 (10) |
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/ David Kling as attorney-in-fact for Mark Zuckerberg | 12/20/2013 | |
**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) | Represents shares of Class A Common Stock that Mark Zuckerberg donated as a gift to Silicon Valley Community Foundation ("SVCF"). Mr. Zuckerberg does not exercise voting or investment control, directly or indirectly, over SVCF or any of its affiliates, or over the donated shares following this transfer. |
(4) | The stock option was fully vested on November 1, 2010. |
(5) | 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. |
(6) | The holder elected to convert the shares of Class B Common Stock into Class A Common Stock on a 1-for-1 basis. |
(7) | Includes 54,831 shares distributed by the Mark Zuckerberg 2008 Annuity Trust dated March 13, 2008. |
(8) | Excludes 54,831 shares contributed to the Mark Zuckerberg Trust dated July 7, 2006. |
(9) | Shares held of record by Mark Zuckerberg, Trustee of the Mark Zuckerberg 2008 Annuity Trust dated March 13, 2008. |
(10) | Shares held of record by Mark Zuckerberg, Trustee of the Openess Trust dated April 12, 2012. |