SEC Form 4 · accession 0001490660-15-000133
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
Oct 1, 2015
Accepted (ET)
Oct 5, 2015 · 6:06 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 Stock | Oct 1, 2015 | M | 994 | $4.74 | A | 40,019 | D | |
| Common Stock | Oct 1, 2015 | M | 2,564 | $7.42 | A | 42,583 | D | |
| Common Stock | Oct 1, 2015 | M | 489 | $4.56 | A | 43,072 | D | |
| Common Stock | Oct 1, 2015 | M | 204 | $4.74 | A | 43,276 | D | |
| Common Stock | Oct 1, 2015 | M | 561 | $7.42 | A | 43,837 | D | |
| Common StockF2 | Oct 1, 2015 | S | 3,970 | $28.1406 | D | 39,867 | D | |
| Common StockF3 | Oct 1, 2015 | S | 842 | $28.5743 | 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)F4 | $4.56 | Oct 1, 2015 | M | 489 | D | — | Apr 30, 2022 | Common Stock | 489 | 3,428 | D |
| Incentive Stock Option (right to buy)F5 | $4.74 | Oct 1, 2015 | M | 204 | D | — | Aug 28, 2022 | Common Stock | 204 | 2,244 | D |
| Incentive Stock Option (right to buy)F6 | $7.42 | Oct 1, 2015 | M | 561 | D | — | Feb 6, 2023 | Common Stock | 561 | 9,547 | D |
| Non-Qualified Stock Option (right to buy)F5 | $4.74 | Oct 1, 2015 | M | 994 | D | — | Aug 28, 2022 | Common Stock | 994 | 10,933 | D |
| Non-Qualified Stock Option (right to buy)F6 | $7.42 | Oct 1, 2015 | M | 2,564 | D | — | Feb 6, 2023 | Common Stock | 2,564 | 43,579 | 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 $27.54 to $28.53. 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 $28.55 to $28.68. 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.
- F6The 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.