SEC Form 4 · accession 0001209191-15-049388
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas A Pepper
Director
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 12:05 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 StockF1,F2 | Jun 1, 2015 | A | 3,671 | $0.00 | A | 22,278 | D | |
| Common StockF3 | holding | — | — | — | 2,475,756 | I | By InterWest Partners IX, LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F4 | $29.28 | Jun 1, 2015 | A | 8,563 | A | — | May 31, 2025 | Common Stock | 8,563 | 8,563 | D |
Explanation of responses
- F1Securities granted automatically on the date of issuer's annual meeting of stockholders in accordance with its outside director compensation policy. Represents shares of common stock that are issuable pursuant to Restricted Stock Unit ("RSU") awards. One-hundred percent (100%) of the RSUs 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 reporting person on the vesting date.
- F2Includes 4,223 RSUs that vested on June 1, 2015 and 3,671 RSUs that vest on June 1, 2016.
- F3The shares are owned by InterWest Partners IX, LP ("IP9"). The general partner of IP9 is InterWest Management Partners IX, LLC. 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.
- F4Securities granted automatically on the date of issuer's annual meeting of stockholders in accordance with its outside director compensation policy. One-hundred percent (100%) of the shares underlying the option 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 reporting person on the vesting date.