Statement of Changes in Beneficial Ownership (4)
20 5월 2016 - 6:32AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
FERNANDEZ PHILLIP M
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2. Issuer Name
and
Ticker or Trading Symbol
Marketo, Inc.
[
MKTO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President, CEO & Chairman
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(Last)
(First)
(Middle)
901 MARINERS ISLAND BLVD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/17/2016
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(Street)
SAN MATEO, CA 94404
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/17/2016
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M
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1010.0
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A
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$2.38
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159891
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D
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Common Stock
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5/17/2016
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M
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9790.0
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A
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$4.56
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169681
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D
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Common Stock
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5/17/2016
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S
(1)
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10800.0
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D
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$26.7866
(2)
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158881
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D
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Common Stock
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5/18/2016
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M
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10800.0
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A
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$4.56
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169681
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D
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Common Stock
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5/18/2016
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S
(1)
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10800.0
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D
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$26.9478
(3)
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158881
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D
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Common Stock
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310214
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I
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by Trust
(4)
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Common Stock
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41695
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I
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by Trust2
(5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option (right to buy)
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$2.38
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5/17/2016
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M
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1010.0
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(6)
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1/24/2021
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Common Stock
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1010
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$0.0
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16059
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D
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Non-Qualified Stock Option (right to buy)
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$4.56
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5/17/2016
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M
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9790.0
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(7)
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4/30/2022
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Common Stock
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9790
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$0.0
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426210
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D
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Non-Qualified Stock Option (right to buy)
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$4.56
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5/18/2016
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M
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10800.0
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(7)
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4/30/2022
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Common Stock
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10800
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$0.0
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415410
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D
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Explanation of Responses:
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(
1)
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The shares were sold pursuant to Mr. Fernandez's 10b5-1 Plan entered into on August 7, 2015.
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(
2)
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This transaction was executed in multiple trades at prices ranging from $26.50 to $27.15. 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.
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(
3)
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This transaction was executed in multiple trades at prices ranging from $26.68 to $27.39. 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.
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(
4)
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The shares are held directly by the Phillip M. Fernandez Living Trust dated August 4, 2010 for which the reporting person serves as trustee.
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(
5)
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The shares are held directly by the Fernandez-Sternbergh Joint Revocable Trust dated January 10, 2014 for which the reporting person serves as trustee.
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(
6)
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The option is subject to an early exercise provision and is immediately exercisable. One-fourth of the shares subject to the option vested on January 25, 2012 and one forty-eighth of the shares vest monthly thereafter.
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(
7)
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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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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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FERNANDEZ PHILLIP M
901 MARINERS ISLAND BLVD
SAN MATEO, CA 94404
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X
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President, CEO & Chairman
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Signatures
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By: Erika Payne For: Phillip M. Fernandez
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5/19/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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MARKETO, INC. (NASDAQ:MKTO)
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