Statement of Changes in Beneficial Ownership (4)
November 12 2021 - 5:39PM
Edgar (US Regulatory)
FORM 4
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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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3235-0287
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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
*
Matricaria Richard D. |
2. Issuer Name and Ticker or Trading Symbol
Marcus & Millichap, Inc.
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MMI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & COO - Western Division |
(Last)
(First)
(Middle)
C/O MARCUS & MILLICHAP, INC., 23975 PARK SORRRENTO, SUITE 400 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/10/2021 |
(Street)
CALABASAS, CA 91302
(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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Common Stock | 11/10/2021 | | M | | 174 | A | (1) | 174 | D | |
Common Stock | 11/10/2021 | | F | | 61 | D | $47.52 (2) | 113 | D | |
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 Units | (1) | 11/10/2021 | | M | | | 174 | (3) | 11/2/2027 | Common Stock | 174 | $0.00 | 175 | D | |
Restricted Stock Units | (1) | | | | | | | (4) | 2/16/2027 | Common Stock | 997 | | 997 | D | |
Restricted Stock Units | (1) | | | | | | | (5) | 2/26/2028 | Common Stock | 2588 | | 2588 | D | |
Restricted Stock Units | (1) | | | | | | | (6) | 2/13/2029 | Common Stock | 4120 | | 4120 | D | |
Restricted Stock Units | (1) | | | | | | | (7) | 5/2/2029 | Common Stock | 9000 | | 9000 | D | |
Restricted Stock Units | (1) | | | | | | | (8) | 2/11/2030 | Common Stock | 7500 | | 7500 | D | |
Restricted Stock Units | (1) | | | | | | | (9) | 2/11/2031 | Common Stock | 11822 | | 11822 | D | |
Restricted Stock Units | (1) | | | | | | | (10) | 5/4/2031 | Common Stock | 10000 | | 10000 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. |
(2) | Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlement of RSUs. The amount of shares withheld is based on the closing sale price on November 10, 2021. |
(3) | The restricted stock units vest in five equal annual installments beginning November 10, 2018. |
(4) | The restricted stock units vest in five equal annual installments beginning February 16, 2018. |
(5) | The restricted stock units vest in five equal annual installments beginning March 10, 2019. |
(6) | The restricted stock units vest in five equal annual installments beginning March 10, 2020. |
(7) | The restricted stock units vest in five equal annual installments beginning May 10, 2020. |
(8) | The restricted stock units vest in five equal annual installments beginning March 10, 2021. |
(9) | The restricted stock units vest in five equal annual installments beginning March 10, 2022. |
(10) | The restricted stock units vest in five equal annual installments beginning May 10, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Matricaria Richard D. C/O MARCUS & MILLICHAP, INC. 23975 PARK SORRRENTO, SUITE 400 CALABASAS, CA 91302 |
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| EVP & COO - Western Division |
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Signatures
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/s/ Richard D. Matricaria | | 11/12/2021 |
**Signature of Reporting Person | Date |
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