SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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.

(Last) (First) (Middle)
C/O MARCUS & MILLICHAP, INC.
23975 PARK SORRRENTO, SUITE 400

(Street)
CALABASAS CA 91302

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/04/2021
3. Issuer Name and Ticker or Trading Symbol
Marcus & Millichap, Inc. [ MMI ]
4. 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
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 6,551 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (1) 02/16/2027 Common Stock 997 (2) D
Restricted Stock Units (3) 11/02/2027 Common Stock 349 (2) D
Restricted Stock Units (4) 02/26/2028 Common Stock 2,588 (2) D
Restricted Stock Units (5) 02/13/2029 Common Stock 4,120 (2) D
Restricted Stock Units (6) 05/02/2029 Common Stock 9,000 (2) D
Restricted Stock Units (7) 02/11/2030 Common Stock 7,500 (2) D
Restricted Stock Units (8) 02/11/2031 Common Stock 11,822 (2) D
Restricted Stock Units (9) 05/04/2031 Common Stock 10,000 (2) D
Explanation of Responses:
1. The restricted stock units vest in five equal annual installments beginning February 16, 2018.
2. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
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 March 10, 2019.
5. The restricted stock units vest in five equal annual installments beginning March 10, 2020.
6. The restricted stock units vest in five equal annual installments beginning May 10, 2020.
7. The restricted stock units vest in five equal annual installments beginning March 10, 2021.
8. The restricted stock units vest in five equal annual installments beginning March 10, 2022.
9. The restricted stock units vest in five equal annual installments beginning May 10, 2022.
Remarks:
Exhibit 24.1: Power of Attorney
/s/ Richard D. Matricaria 05/18/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.