SEC Form 4 · accession 0001490660-15-000110
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
Aug 17, 2015
Accepted (ET)
Aug 18, 2015 · 8:06 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 StockF1 | Aug 17, 2015 | M | 10,000 | $2.38 | A | 72,578 | D | |
| Common StockF3 | Aug 17, 2015 | S | 10,000 | $29.0128 | D | 62,578 | D | |
| Common StockF4 | holding | — | — | — | 2,016 | 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)F5 | $2.38 | Aug 17, 2015 | M | 10,000 | D | — | May 16, 2021 | Common Stock | 10,000 | 57,984 | D |
Explanation of responses
- F1Includes 136 shares of common stock acquired under Marketo's Employee Stock Purchase Plan on 8/17/2015.
- F2These shares were sold pursuant to Mr. Ball's 10b5-1 plan entered into on May 28, 2015.
- F3This transaction was executed in multiple trades at prices ranging from $28.69 to $29.24. 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 shares are held directly by The 1998 Ball Family Trust for which the Reporting Person serves as trustee.
- F5The 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.