SEC Form 4 · accession 0001490660-15-000013
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip M Fernandez
Officer — President, CEO & Chairman · Director
Period of report
Jan 29, 2015
Accepted (ET)
Feb 2, 2015 · 7:37 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 29, 2015 | M | 6,000 | $4.56 | A | 90,541 | D | |
| Common StockF2 | Jan 29, 2015 | S | 1,000 | $33.095 | D | 89,541 | D | |
| Common StockF3 | Jan 29, 2015 | S | 3,300 | $33.9692 | D | 86,241 | D | |
| Common StockF4 | Jan 29, 2015 | S | 1,700 | $34.8076 | D | 84,541 | D | |
| Common Stock | Jan 30, 2015 | M | 6,000 | $4.56 | A | 90,541 | D | |
| Common StockF5 | Jan 30, 2015 | S | 5,800 | $34.5674 | D | 84,741 | D | |
| Common StockF6 | Jan 30, 2015 | S | 200 | $35.225 | D | 84,541 | D | |
| Common StockF7 | holding | — | — | — | 310,214 | 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)F8 | $4.56 | Jan 29, 2015 | M | 6,000 | D | — | Apr 30, 2022 | Common Stock | 6,000 | 682,000 | D |
| Non-Qualified Stock Option (right to buy)F8 | $4.56 | Jan 30, 2015 | M | 6,000 | D | — | Apr 30, 2022 | Common Stock | 6,000 | 676,000 | D |
Explanation of responses
- F1The shares were sold pursuant to Mr. Fernandez's 10b5-1 Plan entered into on August 27, 2014.
- F2This transaction was executed in multiple trades at prices ranging from $32.59 to $33.45. 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 $33.59 to $34.57. 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 $34.59 to $35.31. 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.
- F5This transaction was executed in multiple trades at prices ranging from $34.15 to $34.90. 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.
- F6This transaction was executed in multiple trades at prices ranging from $35.18 to $35.27. 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.
- F7The shares are held directly by the Phillip M. Fernandez Living Trust dated August 4, 2010 for which the reporting person serves as trustee.
- F8The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on May 1, 2013 and one forty-eighth of the shares vest monthly thereafter.