SEC Form 4 · accession 0001490660-15-000017
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sanjay Dholakia
Officer — SVP & Chief Marketing Officer
Period of report
Apr 17, 2014
Accepted (ET)
Feb 4, 2015 · 6:31 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 StockF1 | Apr 17, 2014 | F | 17,762 | $30.85 | D | 37,048 | D | |
| Common Stock | Feb 2, 2015 | M | 204 | $4.74 | A | 18,904 | D | |
| Common Stock | Feb 2, 2015 | M | 490 | $4.56 | A | 19,394 | D | |
| Common Stock | Feb 2, 2015 | M | 994 | $4.74 | A | 20,388 | D | |
| Common StockF3 | Feb 2, 2015 | S | 1,600 | $33.1738 | D | 18,788 | D | |
| Common Stock | Feb 2, 2015 | S | 88 | $34.38 | D | 18,700 | 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)F4 | $4.56 | Feb 2, 2015 | M | 490 | D | — | Apr 30, 2022 | Common Stock | 490 | 7,344 | D |
| Incentive Stock Option (right to buy)F5 | $4.74 | Feb 2, 2015 | M | 204 | D | — | Aug 28, 2022 | Common Stock | 204 | 3,876 | D |
| Non-Qualified Stock Option (right to buy)F5 | $4.74 | Feb 2, 2015 | M | 994 | D | — | Aug 28, 2022 | Common Stock | 994 | 18,884 | D |
Explanation of responses
- F1Shares withheld by Marketo, Inc. to satisfy taxes payable in connection with the vesting of previously awarded restricted stock units. No shares were sold.
- F2The shares were sold pursuant to Mr. Dholakia's 10b5-1 plan entered into on August 8, 2014.
- F3This transaction was executed in multiple trades at prices ranging from $32.80 to $33.77. 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.
- F4The option is subject to an early exercise provision and is immediately exercisable. Shares subject to the option vest in twenty-four equal monthly installments beginning on May 17, 2014.
- F5The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vest on August 29, 2013 and one forty-eighth of the shares vest monthly thereafter.