Statement of Changes in Beneficial Ownership (4)
19 8월 2016 - 5:57AM
Edgar (US Regulatory)
FORM 4
[
X
]
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
*
NAHM TAE HEA
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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
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O STORM VENTURES, 3000 SAND HILL ROAD, SUITE 4-210
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/16/2016
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(Street)
MENLO PARK, CA 94025
(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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8/16/2016
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U
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3057
(1)
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D
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(2)
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0
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D
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Common Stock
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8/16/2016
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U
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8534
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D
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(2)
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0
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I
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See Footnote
(3)
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Common Stock
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8/16/2016
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U
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2303832
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D
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(2)
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0
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I
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See Footnote
(4)
(5)
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Common Stock
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8/16/2016
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U
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126020
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D
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(2)
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0
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I
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See Footnote
(5)
(6)
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Common Stock
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8/16/2016
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U
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71368
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D
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(2)
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0
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I
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See Footnote
(5)
(7)
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Common Stock
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8/16/2016
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U
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7894
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D
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(2)
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0
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I
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See Footnote
(5)
(8)
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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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$12.00
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8/16/2016
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D
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16800
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(9)
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4/30/2023
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Common Stock
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16800
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(9)
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0
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D
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Non-Qualified Stock Option (right to buy)
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$25.45
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8/16/2016
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D
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9055
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(10)
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6/12/2024
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Common Stock
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9055
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(10)
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0
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D
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Non-Qualified Stock Option (right to buy)
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$29.28
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8/16/2016
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D
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8563
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(11)
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5/31/2025
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Common Stock
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8563
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(11)
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0
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D
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Non-Qualified Stock Option (right to buy)
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$35.16
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8/16/2016
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D
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6789
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(12)
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5/31/2026
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Common Stock
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6789
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(12)
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0
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D
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Explanation of Responses:
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(
1)
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Certain of these securities were restricted stock units ("RSUs") that represented the Reporting Person's right to receive shares of Common Stock of the Issuer. The RSUs were cancelled pursuant to that certain Agreement and Plan of Merger, dated May 27, 2016, between the Issuer, Milestone Holdco, LLC and Milestone Merger Sub, Inc. (the "Merger Agreement"), in exchange for a cash payment of $35.25 per share.
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(
2)
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Disposed of pursuant to the Merger Agreement, in exchange for a cash payment of $35.25 per share.
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(
3)
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The shares are held directly by Nahm Family Trust dated 9-23-1999, for which the Reporting Person serves as trustee.
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(
4)
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The shares are held directly by Storm Ventures Fund III, L.P. ("SV III").
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(
5)
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Storm Ventures Associates III, L.L.C. ("SVA LLC") is the general partners of SV III and SVA III and the managing member of SVP III and may be deemed to have shared voting and dispositive power over the shares held by SV III, SVA III and SVP III. The Reporting Person is a managing member of SVA LLC and may be deemed to have shared voting and dispositive power over the shares held by SV III, SVA III and SVP III. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
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(
6)
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The shares are held directly by Storm Ventures Affiliates Fund III, L.P. ("SVA III").
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(
7)
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The shares are held directly by Storm Ventures Principals Fund III, L.P. ("SVP III").
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(
8)
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The shares are held directly by SVA LLC pursuant to the terms of a management agreement between SVA LLC and the Reporting Person.
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(
9)
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The option, which provided for vesting of all of the shares upon the earlier of (i) the 2014 annual stockholders meeting of the Issuer or (ii) May 1, 2014, was cancelled pursuant to the Merger Agreement, in exchange for a cash payment equal to (x) the difference between $35.25 and the per share exercise price of the option, multiplied by (y) the number of disposed option shares.
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(
10)
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The option, which provided for vesting of all of the shares upon the earlier of (i) the 2015 annual stockholders meeting of the Issuer or (ii) June 12, 2015, was cancelled pursuant to the Merger Agreement, in exchange for a cash payment equal to (x) the difference between $35.25 and the per share exercise price of the option, multiplied by (y) the number of disposed option shares.
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(
11)
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The option, which provided for vesting of all of the shares upon the earlier of (i) the 2016 annual stockholders meeting of the Issuer or (ii) June 1, 2016, was cancelled pursuant to the Merger Agreement, in exchange for a cash payment equal to (x) the difference between $35.25 and the per share exercise price of the option, multiplied by (y) the number of disposed option shares.
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(
12)
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The option, which provided for vesting of all of the shares upon the earlier of (i) the 2017 annual stockholders meeting of the Issuer or (ii) June 1, 2017, was cancelled pursuant to the Merger Agreement, in exchange for a cash payment equal to (x) the difference between $35.25 and the per share exercise price of the option, multiplied by (y) the number of disposed option shares.
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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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NAHM TAE HEA
C/O STORM VENTURES
3000 SAND HILL ROAD, SUITE 4-210
MENLO PARK, CA 94025
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X
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Signatures
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/s/ Kevin Melia, by power of attorney
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8/18/2016
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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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