SEC Form 4 · accession 0001490660-15-000009
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick Ball
Officer — SVP & Chief Financial Officer
Period of report
Jan 15, 2015
Accepted (ET)
Jan 16, 2015 · 8:57 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 15, 2015 | M | 15,000 | $2.38 | A | 48,988 | D | |
| Common StockF2 | Jan 15, 2015 | S | 9,200 | $31.9768 | D | 39,788 | D | |
| Common StockF3 | Jan 15, 2015 | S | 5,500 | $32.738 | D | 34,288 | D | |
| Common StockF4 | Jan 15, 2015 | S | 300 | $33.5783 | D | 33,988 | D | |
| Common StockF5 | holding | — | — | — | 32,016 | I | by Trust |
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)F6 | $2.38 | Jan 15, 2015 | M | 15,000 | D | — | May 16, 2021 | Common Stock | 15,000 | 87,984 | D |
Explanation of responses
- F1These shares were sold pursuant to a 10b5-1 plan entered into by Mr. Ball on August 12, 2014.
- F2This transaction was executed in multiple trades at prices ranging from $31.40 to $32.37. 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.
- F3This transaction was executed in multiple trades at prices ranging from $32.41 to $33.31. 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.
- F4This transaction was executed in multiple trades at prices ranging from $33.475 to $33.63. 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.
- F5The shares are held directly by The 1998 Ball Family Trust for which the Reporting Person serves as trustee.
- F6The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on May 2, 2012 and one forty-eighth of the shares vest monthly thereafter.