Filing Details
- Accession Number:
- 0001104659-13-043995
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-22 19:51:14
- Reporting Period:
- 2013-05-22
- Filing Date:
- 2013-05-22
- Accepted Time:
- 2013-05-22 18:51:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1490660 | Marketo Inc. | MKTO | Services-Prepackaged Software (7372) | 562558241 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1200465 | M Phillip Fernandez | C/O Marketo, Inc. 901 Mariners Island Blvd., Suite 200 San Mateo CA 94404 | President, Ceo & Chairman | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-05-22 | 85,000 | $0.00 | 730,995 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2013-05-22 | 90,000 | $0.22 | 90,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-05-22 | 90,000 | $13.00 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnote |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2013-05-22 | 85,000 | $0.00 | 85,000 | $0.00 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2013-05-22 | 90,000 | $0.00 | 90,000 | $0.22 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 70,000 | 2019-01-20 | No | 4 | M | Direct |
Footnotes
- The Series A Convertible Preferred Stock automatically converted into Common Stock on a one for one basis immediately prior to the completion of the Issuer's initial public offering of common stock and had no expiration date.
- The shares are held directly by the Phillip M. Fernandez Living Trust dated August 4, 2010 for which the Reporting Person serves as trustee.
- The option is fully vested and immediately exercisable.
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