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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) | (4) | 08/15/2018 | M | 8,018 | (5) | 03/16/2024 | Class A Common Stock | 8,018 | $ 0 | 16,036 | D | ||||
Restricted Stock Units (RSU) (Class A) | (4) | 08/15/2018 | M | 4,952 | (6) | 03/15/2025 | Class A Common Stock | 4,952 | $ 0 | 24,763 | D | ||||
Restricted Stock Units (RSU) (Class A) | (4) | 08/15/2018 | M | 5,060 | (7) | 03/14/2026 | Class A Common Stock | 5,060 | $ 0 | 65,772 | D | ||||
Restricted Stock Units (RSU) (Class A) | (4) | 08/15/2018 | M | 4,713 | (8) | 03/14/2027 | Class A Common Stock | 4,713 | $ 0 | 51,845 | D | ||||
Restricted Stock Units (RSU) (Class A) | (4) | 08/15/2018 | M | 3,424 | (9) | 03/19/2028 | Class A Common Stock | 3,424 | $ 0 | 47,936 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stretch Colin C/O FACEBOOK, INC. 1601 WILLOW ROAD MENLO PARK, CA 94025 |
VP and General Counsel |
/s/ Michael Johnson as attorney-in-fact for Colin Stretch | 08/17/2018 | |
**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) | The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the holder. |
(2) | 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 Restricted Stock Units ("RSUs") and does not represent a sale by the reporting person. |
(3) | Shares held of record by The Graham Stretch Family Foundation (the "Foundation"). The reporting person's spouse is president of the Foundation and has voting and investment control of the Foundation. |
(4) | Each RSU represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement. |
(5) | The RSUs vest as to 1/5th of the total shares on February 15, 2015, after which 1/20th of the total shares vest quarterly, subject to continued service through each vesting date. |
(6) | The RSUs vest as to 1/16th of the total shares quarterly, beginning on February 15, 2016, subject to continued service through each vesting date. |
(7) | The RSUs shall vest quarterly as to 1/16th of the total shares, commencing the first quarter following November 15, 2017, subject to continued service through each vesting date. |
(8) | The RSUs shall vest quarterly as to 1/16th of the total shares, commencing the first quarter following May 15, 2017, subject to continued service through each vesting date. |
(9) | The RSUs shall vest quarterly as to 1/16th of the total shares, commencing the first quarter following February 15, 2018, subject to continued service through each vesting date. |