SEC Form 4 · accession 0001490660-15-000049
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
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 5:54 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 | Mar 2, 2015 | M | 489 | $4.56 | A | 39,932 | D | |
| Common Stock | Mar 2, 2015 | M | 204 | $4.74 | A | 40,136 | D | |
| Common Stock | Mar 2, 2015 | M | 994 | $4.74 | A | 41,130 | D | |
| Common StockF2 | Mar 2, 2015 | S | 1,300 | $27.0971 | D | 39,830 | D | |
| Common StockF3 | Mar 2, 2015 | S | 387 | $27.6484 | D | 39,443 | 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 | Mar 2, 2015 | M | 489 | D | — | Apr 30, 2022 | Common Stock | 489 | 6,855 | D |
| Incentive Stock Option (right to buy)F5 | $4.74 | Mar 2, 2015 | M | 204 | D | — | Aug 28, 2022 | Common Stock | 204 | 3,672 | D |
| Non-Qualified Stock Option (right to buy)F5 | $4.74 | Mar 2, 2015 | M | 994 | D | — | Aug 28, 2022 | Common Stock | 994 | 17,890 | D |
Explanation of responses
- F1The shares were sold pursuant to Mr. Dholakia's 10b5-1 plan entered into on August 8, 2014.
- F2This transaction was executed in multiple trades at prices ranging from $26.47 to $27.36. 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 $27.55 to $27.85. 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.