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Meta Platforms, Inc. — Director's Dealing 2017
Oct 3, 2017
29738_dirs_2017-10-03_4c0b3bed-b3f6-465f-88b4-f8ee1fe79255.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Facebook Inc (FB)
CIK: 0001326801
Period of Report: 2017-09-29
Reporting Person: Zuckerberg Mark (Director, COB and CEO, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-09-29 | Class A Common Stock | C | 58651 | — | Acquired | 58651 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 10230 | $169.559 | Disposed | 48421 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 36307 | $170.5407 | Disposed | 12114 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 12114 | $171.1613 | Disposed | 0 | Indirect |
| 2017-09-29 | Class A Common Stock | C | 36657 | — | Acquired | 36657 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 6600 | $169.5284 | Disposed | 30057 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 22642 | $170.5508 | Disposed | 7415 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 7415 | $171.1893 | Disposed | 0 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 2600 | $169.5121 | Disposed | 643353 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 9861 | $170.5981 | Disposed | 633492 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 2200 | $171.2944 | Disposed | 631292 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 2600 | $169.4429 | Disposed | 739752 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 8949 | $170.5424 | Disposed | 730803 | Indirect |
| 2017-09-29 | Class A Common Stock | S | 3115 | $171.1844 | Disposed | 727688 | Indirect |
| 2017-10-02 | Class A Common Stock | C | 58783 | — | Acquired | 58783 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 28455 | $169.5556 | Disposed | 30328 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 22400 | $170.4512 | Disposed | 7928 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 7628 | $171.1393 | Disposed | 300 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 300 | $171.83 | Disposed | 0 | Indirect |
| 2017-10-02 | Class A Common Stock | C | 36733 | — | Acquired | 36733 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 17398 | $169.5655 | Disposed | 19335 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 15634 | $170.5103 | Disposed | 3701 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 3701 | $171.3087 | Disposed | 0 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 7069 | $169.5889 | Disposed | 624223 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 6220 | $170.6064 | Disposed | 618003 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 1400 | $171.4064 | Disposed | 616603 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 7439 | $169.6106 | Disposed | 720249 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 5850 | $170.627 | Disposed | 714399 | Indirect |
| 2017-10-02 | Class A Common Stock | S | 1400 | $171.4057 | Disposed | 712999 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-09-29 | Class B Common Stock | $ | C | 58651 | Disposed | Class A Common Stock (58651) | Indirect | |
| 2017-09-29 | Class B Common Stock | $ | C | 36657 | Disposed | Class A Common Stock (36657) | Indirect | |
| 2017-10-02 | Class B Common Stock | $ | C | 58783 | Disposed | Class A Common Stock (58783) | Indirect | |
| 2017-10-02 | Class B Common Stock | $ | C | 36733 | Disposed | Class A Common Stock (36733) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Common Stock | 468566 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Class B Common Stock | $ | Class A Common Stock (5207492) | 5207492 | Indirect |
Footnotes
F1: Shares held of record by Mark Zuckerberg, Trustee and Settlor of the Chan Zuckerberg Foundation ("CZ Foundation").
F2: The sales reported were effected by CZ Foundation and CZI Holdings, LLC ("CZI"), as applicable, pursuant to their Rule 10b5-1 trading plans. These sales are part of Mr. Zuckerberg's previously-announced plan to gift or otherwise direct substantially all of his shares of Facebook stock, or the net after-tax proceeds from sales of such shares, to further the mission of advancing human potential and promoting equality by means of philanthropic, public advocacy, and other activities for the public good.
F3: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.835 to $169.81 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.84 to $170.83 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.84 to $171.62 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F6: Shares held of record by CZI. Mark Zuckerberg, Trustee of The Mark Zuckerberg Trust dated July 7, 2006 ("2006 Trust") is the sole member of CZI. Mr. Zuckerberg is the sole trustee of the 2006 Trust and, therefore, is deemed to have sole voting and investment power over the securities held by CZI.
F7: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.835 to $169.83 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F8: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.85 to $170.845 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F9: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.86 to $171.62 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F10: The sales reported were effected by Mark Zuckerberg, Trustee of The Mark Zuckerberg 2014 GRAT No. 2, dated 5/8/2014 and Mark Zuckerberg, Trustee of The Mark Zuckerberg 2014 GRAT No. 3, dated 5/8/2014, as applicable, pursuant to their Rule 10b5-1 trading plans.
F11: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.855 to $169.84 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F12: Shares held of record by Mark Zuckerberg, Trustee of The Mark Zuckerberg 2014 GRAT No. 2, dated 5/8/2014.
F13: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.94 to $170.93 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F14: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.03 to $171.61 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F15: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.835 to $169.79 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F16: Shares held of record by Mark Zuckerberg, Trustee of The Mark Zuckerberg 2014 GRAT No. 3, dated 5/8/2014.
F17: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.87 to $170.85 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F18: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.90 to $171.61 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F19: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.79 to $169.78 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F20: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.80 to $170.79 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F21: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.80 to $171.77 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F22: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.80 to $171.85 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F23: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.88 to $169.85 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F24: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.91 to $170.89 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F25: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.92 to $171.85 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F26: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.01 to $169.94 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F27: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.05 to $171.02 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F28: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.19 to $171.63 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F29: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.05 to $170.00 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F30: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.14 to $171.01 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F31: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.19 to $171.63 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F32: Shares held of record by Mark Zuckerberg, Trustee of the 2006 Trust.
F33: 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.