SEC Form 4 · accession 0001490660-15-000071
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
May 1, 2015
Accepted (ET)
May 4, 2015 · 5:20 pm EDT
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 | May 1, 2015 | M | 994 | $4.74 | A | 40,019 | D | |
| Common Stock | May 1, 2015 | M | 2,563 | $7.42 | A | 42,582 | D | |
| Common Stock | May 1, 2015 | M | 562 | $7.42 | A | 43,144 | D | |
| Common Stock | May 1, 2015 | M | 204 | $4.74 | A | 43,348 | D | |
| Common Stock | May 1, 2015 | M | 490 | $4.56 | A | 43,838 | D | |
| Common StockF2 | May 1, 2015 | S | 4,813 | $29.2164 | D | 39,025 | 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 | $4.56 | May 1, 2015 | M | 490 | D | — | Apr 30, 2022 | Common Stock | 490 | 5,875 | D |
| Incentive Stock Option (right to buy)F4 | $4.74 | May 1, 2015 | M | 204 | D | — | Aug 28, 2022 | Common Stock | 204 | 3,264 | D |
| Incentive Stock Option (right to buy)F5 | $7.42 | May 1, 2015 | M | 562 | D | — | Feb 6, 2023 | Common Stock | 562 | 12,354 | D |
| Non-Qualified Stock Option (right to buy)F4 | $4.74 | May 1, 2015 | M | 994 | D | — | Aug 28, 2022 | Common Stock | 994 | 15,903 | D |
| Non-Qualified Stock Option (right to buy)F5 | $7.42 | May 1, 2015 | M | 2,563 | D | — | Feb 6, 2023 | Common Stock | 2,563 | 56,397 | 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 $28.76 to $29.73. 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. Shares subject to the option vest in twenty-four equal monthly installments beginning on May 17, 2014.
- F4The 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.
- F5The 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 March 7, 2015.