Filing Details
- Accession Number:
- 0001490660-14-000202
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-04 19:20:14
- Reporting Period:
- 2014-11-03
- Filing Date:
- 2014-11-04
- Accepted Time:
- 2014-11-04 19:20:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1220396 | Sanjay Dholakia | 901 Mariners Island Blvd San Mateo CA 94404 | Svp & Chief Marketing 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 | 2014-11-03 | 2,937 | $4.56 | 41,199 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-11-03 | 612 | $4.74 | 41,811 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-11-03 | 2,982 | $4.74 | 44,793 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-03 | 8,331 | $32.19 | 36,462 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| 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 | Incentive Stock Option (right to buy) | Disposition | 2014-11-03 | 2,937 | $0.00 | 2,937 | $4.56 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2014-11-03 | 612 | $0.00 | 612 | $4.74 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2014-11-03 | 2,982 | $0.00 | 2,982 | $4.74 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,813 | 2022-04-30 | No | 4 | M | Direct | |
| 4,488 | 2022-08-28 | No | 4 | M | Direct | |
| 21,866 | 2022-08-28 | No | 4 | M | Direct |
Footnotes
- Includes 550 shares acquired under Marketo's ESPP on August 15, 2014.
- The shares were sold pursuant to Mr. Dholakia's 10b5-1 plan entered into on August 8, 2014.
- This transaction was executed in multiple trades at prices ranging from $31.94 to $32.69. 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.
- The 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 May 17, 2014.
- The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vest on August 29, 2013 and one forty-eighth of the shares vest monthly thereafter.
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