Statement of Changes in Beneficial Ownership (4)
17 Marzo 2021 - 04:27PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
GIBEAU FRANK D |
2. Issuer Name and Ticker or Trading Symbol
ZYNGA INC
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ZNGA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
C/O ZYNGA INC., 699 8TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/15/2021 |
(Street)
SAN FRANCISCO, CA 94103
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 3/15/2021 | | M | | 404930 | A | (1) | 408456 | D | |
Class A Common Stock | 3/15/2021 | | F(2) | | 205110 | D | $10.063 | 203346 | D | |
Class A Common Stock | 3/15/2021 | | M | | 54469 | A | (1) | 257815 | D | |
Class A Common Stock | 3/15/2021 | | F(2) | | 27591 | D | $10.063 | 230224 | D | |
Class A Common Stock | 3/15/2021 | | M | | 92730 | A | (1) | 322954 | D | |
Class A Common Stock | 3/15/2021 | | F(2) | | 46971 | D | $10.063 | 275983 | D | |
Class A Common Stock | 3/15/2021 | | M | | 55636 | A | (1) | 331619 | D | |
Class A Common Stock | 3/15/2021 | | F(2) | | 28182 | D | $10.063 | 303437 | D | |
Class A Common Stock | 3/15/2021 | | M(3) | | 20550 | A | $2.28 | 323987 | D | |
Class A Common Stock | 3/15/2021 | | S(3) | | 20550 | D | $10.133 (4) | 303437 | D | |
Class A Common Stock | | | | | | | | 794861 | I | By Trust (5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | (1) | 3/15/2021 | | M | | | 404930 | (6) | 2/28/2023 | Class A Common Stock | 404930 | $0.00 | 0 | D | |
Restricted Stock Unit | (1) | 3/15/2021 | | M | | | 54469 | (7) | 3/15/2026 | Class A Common Stock | 54469 | $0.00 | 435756 | D | |
Restricted Stock Unit | (1) | 3/15/2021 | | M | | | 92730 | (8) | 3/15/2027 | Class A Common Stock | 92730 | $0.00 | 278189 | D | |
Performance Stock Unit | (1) | 3/15/2021 | | M | | | 55636 (9) | (10) | 3/15/2027 | Class A Common Stock | 55636 | $0.00 | 166914 | D | |
Performance Stock Unit | (1) | 3/15/2021 | | A | | 251371 | | (11) | 3/15/2028 | Class A Common Stock | 251371 | $0.00 | 251371 | D | |
Restricted Stock Unit | (1) | 3/15/2021 | | A | | 251371 | | (12) | 3/15/2028 | Class A Common Stock | 251371 | $0.00 | 251371 | D | |
Stock Option (Right to Buy) | $2.28 | 3/15/2021 | | M (3) | | | 20550 | (6) | 3/3/2026 | Class A Common Stock | 20550 | $2.28 | 3907333 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon vest. |
(2) | Represents shares sold to satisfy tax withholding obligations in connection with the vesting of the restricted stock units described in Table II. |
(3) | The transaction was effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person. |
(4) | The reported price is a weighted average price (rounded to the nearest cent). These shares were sold in multiple transactions at prices ranging from $10.02 to $10.29, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
(5) | Shares held directly by Frank Donald Gibeau Trust U/A DTD 12/13/2019. Mr. Gibeau serves as trustee and holds voting and dispositive power with respect to these shares. |
(6) | 5% of the shares subject to the award vested on June 15, 2016, and 5% of the shares subject to the award vest quarterly thereafter, generally subject to continued service to the Issuer through each vesting date. |
(7) | 25% of the shares subject to the award vested on March 15, 2020, and 6.25% of the shares subject to the award vest quarterly thereafter, generally subject to continued service to the Issuer through each vesting date. |
(8) | 25% of the shares subject to the award will vest on March 15, 2021, and 6.25% of the shares subject to the award vest quarterly thereafter for a
period of four years after the commencement date, generally subject to continued service to the Issuer through each vesting date. |
(9) | Amounts represent the actual number of earned shares subject to the performance stock award, as determined by the Issuer's board of directors. |
(10) | Each PSU represents a contingent right to receive a share of the Issuer's Class A common stock based upon the achievement of a specified
financial metric (the Issuer's annual operating cash flow). Once the number of earned shares (if any) subject to the PSUs have been
determined, 25% of the earned shares will vest on March 15, 2021, and 6.25% of the earned shares will vest quarterly thereafter, generally
subject to the reporting person's continued service to the Issuer through each vesting date. |
(11) | Each PSU represents a contingent right to receive a share of the Issuer's Class A common stock based upon the achievement of a specified financial metric (the Issuer's annual operating cash flow). Once the number of earned shares (if any) subject to the PSUs have been determined, 25% of the earned shares will vest on March 15, 2022, and 6.25% of the earned shares will vest quarterly thereafter, generally subject to the reporting person's continued service to the Issuer through each vesting date. The number of shares reported herein is a target number, and the actual number of shares issuable pursuant to the PSU will range from 0-150% of the number of target shares. |
(12) | 25% of the shares subject to the award vested on March 15, 2022, and 6.25% of the shares subject to the award vest quarterly thereafter, generally subject to continued service to the Issuer through each vesting date |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GIBEAU FRANK D C/O ZYNGA INC. 699 8TH STREET SAN FRANCISCO, CA 94103 | X |
| Chief Executive Officer |
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Signatures
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/s/ Matt Tolland, as attorney-in-fact for Frank D. Gibeau | | 3/17/2021 |
**Signature of Reporting Person | Date |
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