Filing Details
- Accession Number:
- 0001490660-15-000169
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-17 17:57:28
- Reporting Period:
- 2015-12-15
- Filing Date:
- 2015-12-17
- Accepted Time:
- 2015-12-17 17:57:28
- 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 | 2015-12-15 | 5,000 | $2.38 | 67,578 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-12-15 | 5,000 | $7.42 | 72,578 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-12-15 | 10,000 | $25.77 | 62,578 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Non-Qualified Stock Option (right to buy) | Disposition | 2015-12-15 | 5,000 | $0.00 | 5,000 | $2.38 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2015-12-15 | 5,000 | $0.00 | 5,000 | $7.42 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,000 | 2021-05-16 | No | 4 | M | Direct | |
| 69,507 | 2023-02-06 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,016 | Indirect | by Trust |
Footnotes
- These shares were sold pursuant to Mr. Ball's 10b5-1 plan entered into on May 28, 2015.
- This transaction was executed in multiple trades at prices ranging from $25.50 to $26.165. 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 1998 Ball Family Trust 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 2, 2012 and one forty-eighth of the shares vest monthly thereafter.
- 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 March 7, 2015.
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