SEC Form 4 · accession 0001490660-16-000206
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason L Holmes
Officer — EVP & Chief Operating Officer
Period of report
Apr 4, 2016
Accepted (ET)
Apr 6, 2016 · 5:38 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 | Apr 4, 2016 | M | 1,966 | $4.24 | A | 67,648 | D | |
| Common Stock | Apr 4, 2016 | M | 6,791 | $7.42 | A | 74,439 | D | |
| Common Stock | Apr 4, 2016 | M | 2,983 | $4.24 | A | 77,422 | D | |
| Common Stock | Apr 4, 2016 | S | 11,740 | $20.00 | D | 65,682 | 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)F2 | $4.24 | Apr 4, 2016 | M | 1,966 | D | — | Mar 1, 2022 | Common Stock | 1,966 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2 | $4.24 | Apr 4, 2016 | M | 2,983 | D | — | Mar 1, 2022 | Common Stock | 2,983 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $7.42 | Apr 4, 2016 | M | 6,791 | D | — | Feb 6, 2023 | Common Stock | 6,791 | 27,500 | D |
Explanation of responses
- F1These shares were sold pursuant to Mr. Holmes' 10b5-1 plan entered into on May 20, 2015.
- F2The 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.
- F3The 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.