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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 | ||||||||
Restricted Stock Units (RSU) (Class A) | (3) | 08/15/2017 | M | 10,023 | (4) | 03/16/2024 | Class A Common Stock | 10,023 | $ 0 | 100,225 | D | ||||
Restricted Stock Units (RSU) (Class A) | (3) | 08/15/2017 | M | 8,254 | (5) | 03/15/2025 | Class A Common Stock | 8,254 | $ 0 | 115,562 | D | ||||
Restricted Stock Unit (RSU) (Class B) | (6) | 08/15/2017 | M | 86,584 | (7) | 08/25/2020 | Class B Common Stock (8) | 86,584 | $ 0 | 259,752 | D | ||||
Class B Common Stock (8) | (8) | 08/15/2017 | M | 86,584 | (8) | (8) | Class A Common Stock | 86,584 | $ 0 | 86,584 | D | ||||
Class B Common Stock (8) | (8) | 08/15/2017 | C | 86,584 (9) | (8) | (8) | Class A Common Stock | 86,584 | $ 0 | 0 | D | ||||
Restricted Stock Unit (RSU) (Class B) | (6) | 08/15/2017 | M | 34,122 | (10) | 05/02/2022 | Class B Common Stock (8) | 34,122 | $ 0 | 136,490 | D | ||||
Class B Common Stock (8) | (8) | 08/15/2017 | M | 34,122 | (8) | (8) | Class A Common Stock | 34,122 | $ 0 | 34,122 | D | ||||
Class B Common Stock (8) | (8) | 08/15/2017 | C | 34,122 (9) | (8) | (8) | Class A Common Stock | 34,122 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Schroepfer Michael Todd C/O FACEBOOK, INC. 1601 WILLOW ROAD MENLO PARK, CA 94025 |
Chief Technology Officer |
/s/ Michael Johnson as attorney-in-fact for Michael T. Schroepfer | 08/17/2017 | |
**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 of Class A Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person. |
(2) | Represents the number of shares that were acquired upon conversion of Class B Common Stock to Class A Common Stock in connection with the settlement of the Restricted Stock Units ("RSUs") listed in Table II. |
(3) | Each RSU represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement. |
(4) | The RSUs vest as to 1/16th of the total shares quarterly, beginning on May 15, 2016, subject to continued service through each vesting date. |
(5) | The RSUs vest as to 1/16th of the total shares quarterly, beginning on May 15, 2017, subject to continued service through each vesting date. |
(6) | Each RSU represents a contingent right to receive 1 share of the issuer's Class B Common Stock upon settlement. |
(7) | The RSUs were granted with both (a) a liquidity event-based vesting condition and (b) a service-based vesting condition, both of which conditions must be satisfied in order for the RSUs to vest. The liquidity event-based vesting condition was satisfied on November 17, 2012. The service-based vesting condition was satisfied as to 1/16th of the total number of shares on August 15, 2014, after which 1/16th of the total number of shares vest quarterly, subject to continued service through each vesting date. |
(8) | 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. |
(9) | The holder elected to convert the shares of Class B Common Stock into Class A Common Stock on a 1-for-1 basis. |
(10) | The RSUs vest as to 1/16th of the total shares quarterly, beginning on November 15, 2014, subject to continued service through each vesting date. |