SEC Form 4 · accession 0001490660-15-000137
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason L Holmes
Officer — SVP & Chief Customer Officer
Period of report
Oct 15, 2015
Accepted (ET)
Oct 16, 2015 · 5:51 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 15, 2015 | M | 1,965 | $4.24 | A | 54,768 | D | |
| Common Stock | Oct 15, 2015 | M | 2,982 | $4.24 | A | 57,750 | D | |
| Common Stock | Oct 15, 2015 | M | 2,053 | $7.42 | A | 59,803 | D | |
| Common StockF2 | Oct 15, 2015 | S | 7,000 | $32.5089 | D | 52,803 | 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 | $4.24 | Oct 15, 2015 | M | 1,965 | D | — | Mar 1, 2022 | Common Stock | 1,965 | 7,862 | D |
| Non-Qualified Stock Option (right to buy)F3 | $4.24 | Oct 15, 2015 | M | 2,982 | D | — | Mar 1, 2022 | Common Stock | 2,982 | 11,931 | D |
| Non-Qualified Stock Option (right to buy)F4 | $7.42 | Oct 15, 2015 | M | 2,053 | D | — | Feb 6, 2023 | Common Stock | 2,053 | 40,447 | D |
Explanation of responses
- F1These shares were sold pursuant to Mr. Holmes' 10b5-1 plan entered into on May 20, 2015.
- F2This transaction was executed in multiple trades at prices ranging from $32.05 to $32.88. 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. One-fourth of the shares subject to the option vested on February 13, 2013 and one forty-eighth of the shares vest monthly thereafter.
- 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 March 7, 2015.