SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 03/07/2016 | 3. Issuer Name and Ticker or Trading Symbol Marketo, Inc. [ MKTO ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 58,925(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Non-Qualified Stock Option (right to buy) | (2) | 10/29/2024 | Common Stock | 14,000 | 31.67 | D | |
Non-Qualified Stock Option (right to buy) | (3) | 01/27/2024 | Common Stock | 20,000 | 41.91 | D |
Explanation of Responses: |
1. Includes 54,737 shares of common stock that are issuable pursuant to Restricted Stock Unit ("RSU") awards. The first RSU award vests as to 9,375 shares on July 15, 2016 and 9,375 on July 15, 2017. The remaining RSU awards vest on the first Company Vest Date (as defined below) on or after the dates listed as follows: 3,531 shares on August 15, 2016, 3,531 shares on August 15, 2017, 1,750 shares on November 15, 2016, 1,750 shares on November 15, 2017, 1,750 shares on November 15, 2018, 7,757 shares on February 15, 2017, 7,756 shares on February 15, 2018, 5,081 shares on February 15, 2019 and 3,081 shares on February 15, 2020, subject to the Reporting Person continuing to be a service provider through each such date. "Company Vest Dates" are February 15, May 15, August 15, and November 15 of each year, provided however that if a Company Vest Date would otherwise fall on a weekend or holiday, that Company Vest Date will be the first business day following the relevant Company Vest Date. |
2. The option provides for vesting as follows: 25% of the shares vested on October 30, 2015, and the remainder of the shares will vest in equal installments each month thereafter until the option is fully vested on October 30, 2018. |
3. The option provides for vesting as follows: 25% of the shares vested on January 28, 2015, and the remainder of the shares will vest in equal installments each month thereafter until the option is fully vested on January 28, 2018. |
By: Erika Payne For: Brian K. Kinion | 03/09/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |