SEC Form 4 · accession 0001490660-16-000235
Marketo, Inc. · MKTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip M Fernandez
Officer — President, CEO & Chairman · Director
Period of report
Aug 9, 2016
Accepted (ET)
Aug 11, 2016 · 7:22 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 | Aug 9, 2016 | M | 11,300 | $0.22 | A | 170,181 | D | |
| Common Stock | Aug 9, 2016 | M | 301,545 | $1.50 | A | 471,726 | D | |
| Common StockF1 | holding | — | — | — | 310,214 | I | by Trust | |
| Common StockF2 | holding | — | — | — | 41,695 | I | by Trust2 |
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 | $0.22 | Aug 9, 2016 | M | 11,300 | D | — | Jan 20, 2019 | Common Stock | 11,300 | 0 | D |
| Incentive Stock Option (right to buy)F4 | $1.50 | Aug 9, 2016 | M | 301,545 | D | — | Jun 13, 2020 | Common Stock | 301,545 | 0 | D |
Explanation of responses
- F1The shares are held directly by the Phillip M. Fernandez Living Trust dated August 4, 2010 for which the reporting person serves as trustee.
- F2The shares are held directly by the Fernandez-Sternbergh Joint Revocable Trust dated January 10, 2014 for which the reporting person serves as trustee.
- F3The option is fully vested and immediately exercisable.
- F4The option is subject to an early exercise provision pursuant to which 266,664 shares are immediately exercisable and an additional 34,881 shares become exercisable on January 1, 2014. One-fourth of the shares subject to the option vested on May 21, 2011 and one forty-eighth of the shares vest monthly thereafter.