SEC Form 4 · accession 0000899243-15-001797
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas A Pepper
Director
Period of report
Jul 24, 2015
Accepted (ET)
Jul 28, 2015 · 5:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001490660
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3 | Jul 24, 2015 | J | 750,000 | $0.00 | D | 1,725,756 | I | By InterWest Partners IX, LP |
| Common Stock | Jul 24, 2015 | J | 7,500 | $0.00 | A | 7,500 | I | By InterWest Management Partners IX, LLC |
| Common Stock | Jul 24, 2015 | J | 7,500 | $0.00 | D | 0 | I | By InterWest Management Partners IX, LLC |
| Common StockF4 | Jul 24, 2015 | J | 435 | $0.00 | A | 22,713 | D | |
| Common StockF4 | Jul 27, 2015 | S | 7,192 | $30.25 | D | 15,521 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents pro rata in-kind distribution by InterWest Partners IX, LP ("IP9") without consideration to its limited and general partners in accordance with the terms of the InterWest Partners IX, LP Limited Partnership Agreement. Includes 7,500 shares distributed to InterWest Management Partners IX, LLC ("IMP9") its general partner.
- F2Represents pro rata in-kind distribution by IMP9 without consideration to its members in accordance with the terms of the InterWest Management Partners IX, LLC Operating Agreement. Includes 435 shares distributed to Pepper.
- F3The shares are owned by IP9. The general partner of IP9 is IMP9. Gianos, Oronsky, Kliman, Holmes, Kjellson, Cleveland, Pepper and Nasr have shared voting and investment control over shares owned by IP9, and disclaim beneficial ownership of those securities, except to the extent of their pecuniary interest therein
- F4Includes 3,671 RSUs that will vest upon the earlier of (i) the 2016 annual stockholder meeting of the issuer, and (ii) one year from the grant date (June 1, 2016), subject to continued service by the grantee on the vesting date.