SEC Form 4 · accession 0001490660-15-000005
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason L Holmes
Officer — SVP & Chief Customer Officer
Period of report
Jan 5, 2015
Accepted (ET)
Jan 6, 2015 · 7:05 pm EST
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 Stock | Jan 5, 2015 | M | 1,965 | $4.24 | A | 30,553 | D | |
| Common Stock | Jan 5, 2015 | M | 3,035 | $4.24 | A | 33,588 | D | |
| Common StockF2 | Jan 5, 2015 | S | 5,000 | $32.9449 | D | 28,588 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F3 | $4.24 | Jan 5, 2015 | M | 1,965 | D | — | Mar 1, 2022 | Common Stock | 1,965 | 27,516 | D |
| Non-Qualified Stock Option (right to buy)F3 | $4.24 | Jan 5, 2015 | M | 3,035 | D | — | Mar 1, 2022 | Common Stock | 3,035 | 56,443 | D |
Explanation of responses
- F1The shares were sold pursuant to Mr. Holmes' 10b5-1 plan entered into on May 30, 2014.
- F2This transaction was executed in multiple trades at prices ranging from $32.61 to $33.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on February 13, 2013 and one forty-eighth of the shares vest monthly thereafter.