Filing Details
- Accession Number:
- 0001490660-15-000151
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-06 18:03:51
- Reporting Period:
- 2015-11-05
- Filing Date:
- 2015-11-06
- Accepted Time:
- 2015-11-06 18:03:51
- 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 | 2015-11-05 | 6,000 | $4.56 | 138,220 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-11-05 | 6,000 | $29.43 | 132,220 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-11-06 | 6,000 | $4.56 | 138,220 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-11-06 | 5,800 | $30.29 | 132,420 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-11-06 | 200 | $30.78 | 132,220 | 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 | 2015-11-05 | 6,000 | $0.00 | 6,000 | $4.56 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2015-11-06 | 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 |
|---|---|---|---|---|---|---|
| 466,000 | 2022-04-30 | No | 4 | M | Direct | |
| 460,000 | 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 |
| Common Stock | 11,270 | Indirect | by Trust2 |
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 $29.12 to $29.87. 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 $29.73 to $30.70. 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 shares are held directly by the Fernandez-Sternbergh Joint Revocable Trust dated January 10, 2014 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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