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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 | ||||||||
Employee Stock Option (right to buy) | $ 0.1282 | 08/09/2013 | M | 50,000 | (5) | 11/19/2018 | Class B Common Stock (1) | 50,000 | $ 0 | 4,546,458 | D | ||||
Class B Common Stock | (1) | 08/09/2013 | M | 50,000 | (1) | (1) | Class A Common Stock | 50,000 | $ 0 | 153,555 | D | ||||
Class B Common Stock | (1) | 08/09/2013 | C | 50,000 | (1) | (1) | Class A Common Stock | 50,000 | $ 0 | 103,555 | D | ||||
Restricted Stock Unit | $ 0 | 08/09/2013 | M | 26 | (6) | 03/09/2018 | Class B Common Stock (1) | 26 | $ 0 | 78 | D | ||||
Class B Common Stock | (1) | 08/09/2013 | M | 26 | (1) | (1) | Class A Common Stock | 26 | $ 0 | 103,581 | D | ||||
Class B Common Stock | (1) | 08/09/2013 | C | 26 | (1) | (1) | Class A Common Stock | 26 | $ 0 | 103,555 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LEE CADIR B C/O ZYNGA INC. 699 EIGHTH STREET SAN FRANCISCO, CA 94103 |
Executive VP, CTO |
/s/ Jeffrey Schmidt, as attorney-in-fact for Cadir Lee | 08/12/2013 | |
**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) | Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock and Class C Common Stock together represent less than 10% of the aggregate combined voting power of the Issuer's capital stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (i) any transfer, whether or not for value (subject to certain exceptions) or (ii) in the event of death of the Reporting Person. |
(2) | The transaction was effected pursuant to a Rule 10b5-1 plan dated February 12, 2013. |
(3) | The sales price reported is the weighted average sale price for the number of shares sold. Full information regarding the number of shares sold at each separate price will be supplied upon request by the Securities & Exchange Commission staff, the Issuer or a security holder of the Issuer. |
(4) | Represents the number of shares sold to cover tax withholding in connection with the vesting of restricted stock units (the "RSUs") listed in Table II. The transaction was effected pursuant to a Rule 10b5-1 plan dated February 12, 2013. |
(5) | Vests as follows: 1/4th of the shares subject to the option vested on November 17, 2009 and 1/48th of the shares vest on the first day of each succeeding month thereafter, subject to continued service to the Issuer through each vesting date. |
(6) | Vests as follows: 1/32nd of the total shares underlying the RSU vested on April 9, 2011 and 1/32nd of the total shares vest each month thereafter for 31 months, subject to continued service to the Issuer through each vesting date. |