SEC Form 4 · accession 0001490660-15-000139
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
Oct 15, 2015
Accepted (ET)
Oct 16, 2015 · 5:54 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 | 2,984 | $2.38 | A | 65,562 | D | |
| Common Stock | Oct 15, 2015 | M | 12,016 | $7.42 | A | 77,578 | D | |
| Common StockF2 | Oct 15, 2015 | S | 14,800 | $32.3598 | D | 62,778 | D | |
| Common StockF3 | Oct 15, 2015 | S | 200 | $32.825 | 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 | Oct 15, 2015 | M | 2,984 | D | — | May 16, 2021 | Common Stock | 2,984 | 35,000 | D |
| Non-Qualified Stock Option (right to buy)F6 | $7.42 | Oct 15, 2015 | M | 12,016 | D | — | Feb 6, 2023 | Common Stock | 12,016 | 74,507 | D |
Explanation of responses
- F1These shares were sold pursuant to Mr. Ball's 10b5-1 plan entered into on May 28, 2015.
- F2This transaction was executed in multiple trades at prices ranging from $31.78 to $32.76. 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 $32.80 to $32.85. 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 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.
- 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.