SEC Form 4 · accession 0001490660-16-000175
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
Jan 15, 2016
Accepted (ET)
Jan 19, 2016 · 5:37 pm EST
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 | Jan 15, 2016 | M | 1,965 | $4.24 | A | 54,768 | D | |
| Common Stock | Jan 15, 2016 | M | 2,983 | $4.24 | A | 57,751 | D | |
| Common Stock | Jan 15, 2016 | M | 2,052 | $7.42 | A | 59,803 | D | |
| Common StockF2 | Jan 15, 2016 | S | 6,300 | $22.8508 | D | 53,503 | D | |
| Common StockF3 | Jan 15, 2016 | S | 700 | $23.7661 | 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)F4 | $4.24 | Jan 15, 2016 | M | 1,965 | D | — | Mar 1, 2022 | Common Stock | 1,965 | 1,966 | D |
| Non-Qualified Stock Option (right to buy)F4 | $4.24 | Jan 15, 2016 | M | 2,983 | D | — | Mar 1, 2022 | Common Stock | 2,983 | 2,983 | D |
| Non-Qualified Stock Option (right to buy)F5 | $7.42 | Jan 15, 2016 | M | 2,052 | D | — | Feb 6, 2023 | Common Stock | 2,052 | 34,291 | 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 $22.39 to $23.3424. 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 $23.60 to $24.03. 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. One-fourth of the shares subject to the option vested on February 13, 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.