SEC Form 4 · accession 0001209191-15-049540
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tae Hea Nahm
Director
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 4:07 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 | 7,894 | D | |
| Common StockF3 | holding | — | — | — | 8,534 | I | By Trust | |
| Common StockF4,F5 | holding | — | — | — | 2,303,832 | I | See footnotes | |
| Common StockF5,F6 | holding | — | — | — | 126,020 | I | See footnotes | |
| Common StockF5,F7 | holding | — | — | — | 71,368 | I | See footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F8 | $29.28 | Jun 1, 2015 | A | 8,563 | A | — | May 31, 2025 | Common Stock | 8,563 | 8,563 | D |
Explanation of responses
- F1Represents 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.
- F2Shares include 4,223 restricted stock units that fully vested on June 1, 2015.
- F3The shares are held directly by the Nahm Family Trust dated 9-23-1999 for which the reporting person serves as trustee.
- F4The shares are held directly by Storm Ventures Fund III, L.P ("SV III").
- F5Storm Venture Associates III, L.L.C. ("SVA LLC") is the general partner of SV III and SVA III and the managing member of SVP III and, as such, may be deemed to have shared power to vote and dispose of the Issuer's shares of common stock held of record by each such fund. Ryan Floyd, M. Alex Mendez, Tae Hea Nahm and Sanjay Subhedar are the managing members of SVA LLC and, as such, may be deemed to have shared power to vote and dispose of the Issuer's shares of common stock held of record by each of SV III, SVA III and SVP III. Each of the managing directors disclaims beneficial ownership of the shares reported herein, except to the extent of his respective pecuniary interest therein.
- F6The shares are held directly by Storm Ventures Affiliates Fund III, L.P. ("SVA III").
- F7The shares are held directly by Storm Ventures Principals Fund III, L.L.C. ("SVP III").
- F8One hundred percent (100%) of the shares underlying the option will vest upon the earlier of (i) the 2016 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.