Filing Details
- Accession Number:
- 0001490660-15-000035
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-19 19:08:31
- Reporting Period:
- 2015-02-17
- Filing Date:
- 2015-02-19
- Accepted Time:
- 2015-02-19 19:08:31
- 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 | 901 Mariners Island Blvd 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 | 2015-02-17 | 6,000 | $4.56 | 159,355 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-02-17 | 6,000 | $28.01 | 153,355 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-02-18 | 6,000 | $4.56 | 159,355 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-02-18 | 6,000 | $27.30 | 153,355 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-02-18 | 9,865 | $27.11 | 143,490 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2015-02-17 | 6,000 | $0.00 | 6,000 | $4.56 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2015-02-18 | 6,000 | $0.00 | 6,000 | $4.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 670,000 | 2022-04-30 | No | 4 | M | Direct | |
| 664,000 | 2022-04-30 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 310,214 | Indirect | by Trust |
Footnotes
- The shares were sold pursuant to Mr. Fernandez's 10b5-1 Plan entered into on August 27, 2014.
- This transaction was executed in multiple trades at prices ranging from $27.75 to $28.27. 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 $26.93 to $27.77. 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.
- Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 2013 Equity Incentive Plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
- This transaction was executed in multiple trades at prices ranging from $26.90 to $27.34. 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 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 subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on May 1, 2013 and one forty-eighth of the shares vest monthly thereafter.
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