Filing Details
- Accession Number:
- 0001490660-13-000027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-18 16:10:52
- Reporting Period:
- 2013-12-16
- Filing Date:
- 2013-12-18
- Accepted Time:
- 2013-12-18 16:10:52
- 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 |
---|---|---|---|---|---|---|---|
1175993 | Frederick Ball | 901 Mariners Island Blvd San Mateo CA 94404 | Svp & Chief Financial Officer | No | 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 | 2013-12-16 | 10,000 | $2.38 | 30,000 | No | 4 | M | Indirect | by Trust |
Common Stock | Disposition | 2013-12-16 | 12,100 | $31.79 | 17,900 | No | 4 | S | Indirect | by Trust |
Common Stock | Disposition | 2013-12-16 | 2,900 | $32.46 | 15,000 | No | 4 | S | Indirect | by Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | by Trust |
No | 4 | S | Indirect | by Trust |
No | 4 | S | Indirect | by Trust |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Incentive Stock Option (right to buy) | Disposition | 2013-12-16 | 10,000 | $0.00 | 10,000 | $2.38 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
32,016 | 2021-05-16 | No | 4 | M | Direct |
Footnotes
- The shares are held directly by The 1998 Ball Family Trust for which the Reporting Person serves as trustee.
- These shares were sold pursuant to a 10b5-1 plan entered into by Mr. Ball on 9/4/2013.
- This transaction was executed in multiple trades at prices ranging from $31.21 to $32.18. 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.
- This transaction was executed in multiple trades at prices ranging from $32.22 to $32.64. 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.
- Granted in connection with an additional 357,984 Non-Qualified Stock Options on May 17, 2011, as originally reported on Mr. Ball's Form 3 filed on May 16, 2013.
- The 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.