Form 4 for MMI Marcus & Millichap, Inc.
Accepted 2023-03-14 00:00:00 ET · period of report 2023-03-10 · accession 0001209191-23-018726 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2023-03-14 | 2023-03-10 | MMI | Schwarz Kurt Henry | CAO | M - OptEx | — | +960 | 6,820 | +16% | — |
| DMI | 2023-03-14 | 2023-03-10 | MMI | Schwarz Kurt Henry | CAO | F - Tax | $32.15 | -347 | 6,829 | -5% | -$11.2K |
| DM | 2023-03-14 | 2023-03-10 | MMI | Schwarz Kurt Henry | CAO | M - OptEx | $0.00 | -960 | 294 | -77% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-03-10 | M | A | 130 | — | 6,472 | I By Trust | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 2 | Common | Common Stock | 2023-03-10 | F | D | 54 | $32.15 | 6,418 | I By Trust | — | — | (F3) Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlements of RSUs. The amount of shares withheld is based on the closing sale price on March 10, 2023. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 3 | Common | Common Stock | 2023-03-10 | M | A | 404 | — | 6,822 | I By Trust | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 4 | Common | Common Stock | 2023-03-10 | F | D | 149 | $32.15 | 6,673 | I By Trust | — | — | (F3) Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlements of RSUs. The amount of shares withheld is based on the closing sale price on March 10, 2023. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 5 | Common | Common Stock | 2023-03-10 | F | D | 64 | $32.15 | 7,245 | I By Trust | — | — | (F3) Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlements of RSUs. The amount of shares withheld is based on the closing sale price on March 10, 2023. (F4) Includes 290 shares of Common Stock purchased under the Issuer's Employee Stock Purchase Plan. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 6 | Common | Common Stock | 2023-03-10 | F | D | 50 | $32.15 | 6,770 | I By Trust | — | — | (F3) Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlements of RSUs. The amount of shares withheld is based on the closing sale price on March 10, 2023. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 7 | Common | Common Stock | 2023-03-10 | M | A | 89 | — | 6,859 | I By Trust | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 8 | Common | Common Stock | 2023-03-10 | F | D | 30 | $32.15 | 6,829 | I By Trust | — | — | (F3) Shares withheld by the Issuer in payment of the withholding tax liability incurred upon the above-reported settlements of RSUs. The amount of shares withheld is based on the closing sale price on March 10, 2023. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 9 | Common | Common Stock | 2023-03-10 | M | A | 190 | — | 7,019 | I By Trust | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 10 | Common | Common Stock | 2023-03-10 | M | A | 147 | — | 6,820 | I By Trust | — | — | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F2) Voting and investment power over the shares held by The Schwarz Family Trust dated September 25, 2003 is exercised by the reporting person, as one of the trustees. |
| 11 | Derivative | Restricted Stock Units | 2023-03-10 | M | D | 130 | $0.00 | 0 | D | — · — to 2028-02-26 | 130 Common Stock | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F5) The restricted stock units vest in five equal annual installments beginning March 10, 2019. |
| 12 | Derivative | Restricted Stock Units | 2023-03-10 | M | D | 404 | $0.00 | 410 | D | — · — to 2029-02-13 | 404 Common Stock | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F6) The restricted stock units vest in five equal annual installments beginning March 10, 2020. |
| 13 | Derivative | Restricted Stock Units | 2023-03-10 | M | D | 190 | $0.00 | 761 | D | — · — to 2032-02-10 | 190 Common Stock | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F9) The restricted stock units vest in five equal annual installments beginning March 10, 2023. |
| 14 | Derivative | Restricted Stock Units | 2023-03-10 | M | D | 89 | $0.00 | 270 | D | — · — to 2031-02-11 | 89 Common Stock | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F8) The restricted stock units vest in five equal annual installments beginning March 10, 2022. |
| 15 | Derivative | Restricted Stock Units | 2023-03-10 | M | D | 147 | $0.00 | 294 | D | — · — to 2030-02-11 | 147 Common Stock | (F1) Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. (F7) The restricted stock units vest in five equal annual installments beginning March 10, 2021. |