SEC Form 5 · accession 0001209191-16-095530
Marcus & Millichap, Inc. · MMI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt Henry Schwarz
Officer — Chief Accounting Officer
Period of report
Dec 31, 2015
Accepted (ET)
Feb 3, 2016 · 7:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001578732
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 186 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Aug 4, 2015 | A | 1,934 | A | — | — | Common Stock | 1,934 | 1,934 | D |
Explanation of responses
- F1Represents shares acquired under the Issuer's Employee Stock Purchase Plan.
- F2Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
- F3The restricted stock units vest in five equal annual installments beginning August 4, 2016.