0000899243-21-023884.txt : 20210615 0000899243-21-023884.hdr.sgml : 20210615 20210615165003 ACCESSION NUMBER: 0000899243-21-023884 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210611 FILED AS OF DATE: 20210615 DATE AS OF CHANGE: 20210615 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gardner Jason M. CENTRAL INDEX KEY: 0001864306 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40465 FILM NUMBER: 211019140 MAIL ADDRESS: STREET 1: C/O MARQETA, INC. STREET 2: 180 GRAND AVE., FLR 6 CITY: OAKLAND STATE: CA ZIP: 94612 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Marqeta, Inc. CENTRAL INDEX KEY: 0001522540 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 274306690 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 180 GRAND AVENUE STREET 2: 6TH FLOOR CITY: OAKLAND STATE: CA ZIP: 94612 BUSINESS PHONE: 888-462-7738 MAIL ADDRESS: STREET 1: 180 GRAND AVENUE STREET 2: 6TH FLOOR CITY: OAKLAND STATE: CA ZIP: 94612 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-06-11 0 0001522540 Marqeta, Inc. MQ 0001864306 Gardner Jason M. 180 GRAND AVENUE, 6TH FLOOR OAKLAND CA 94612 1 1 1 0 Chief Executive Officer Common Stock 2021-06-11 4 C 0 274350 A 39922553 I See Footnote Common Stock 2021-06-11 4 J 0 39922553 D 0 I See Footnote Common Stock 2021-06-11 4 J 0 625000 D 0 I See Footnote Common Stock 2021-06-11 4 J 0 625000 D 0 I See Footnote Common Stock 2021-06-11 4 J 0 8000000 D 0 I See Footnote Series A Preferred Stock 2021-06-11 4 C 0 274350 0.00 D Common Stock 274350 0 I See Footnote Class B Common Stock 2021-06-11 4 J 0 39922553 0.00 A Class A Common Stock 39922553 39922553 I See Footnote Class B Common Stock 2021-06-11 4 J 0 625000 0.00 A Class A Common Stock 625000 625000 I See Footnote Class B Common Stock 2021-06-11 4 J 0 625000 0.00 A Class A Common Stock 625000 625000 I See Footnote Class B Common Stock 2021-06-11 4 J 0 8000000 0.00 A Class A Common Stock 8000000 8000000 I See Footnote Stock Option (Right to Buy) 0.40 2021-06-11 4 J 0 770557 0.00 D 2029-02-23 Common Stock 770557 0 D Stock Option (Right to Buy) 0.40 2021-06-11 4 J 0 770557 0.00 A 2029-02-23 Class B Common Stock 770557 770557 D Stock Option (Right to Buy) 2.25 2021-06-11 4 J 0 458334 0.00 D 2030-05-04 Common Stock 458334 0 D Stock Option (Right to Buy) 2.25 2021-06-11 4 J 0 458334 0.00 A 2030-05-04 Class B Common Stock 458334 458334 D Stock Option (Right to Buy) 10.48 2021-06-11 4 J 0 1059639 0.00 D 2031-02-10 Common Stock 1059639 0 D Stock Option (Right to Buy) 10.48 2021-06-11 4 J 0 1059639 0.00 A 2031-02-10 Class B Common Stock 1059639 1059639 D Stock Option (Right to Buy) 10.48 2021-06-11 4 J 0 150000 0.00 D 2031-02-10 Common Stock 150000 0 D Stock Option (Right to Buy) 10.48 2021-06-11 4 J 0 150000 0.00 A 2031-02-10 Class B Common Stock 150000 150000 D Stock Option (Right to Buy) 21.49 2021-06-11 4 J 0 19740923 0.00 D 2031-04-12 Common Stock 19740923 0 D Stock Option (Right to Buy) 21.49 2021-06-11 4 J 0 19740923 0.00 A 2031-04-12 Class B Common Stock 19740923 19740923 D Stock Option (Right to Buy) 23.40 2021-06-11 4 J 0 47267 0.00 D 2031-05-04 Common Stock 47267 0 D Stock Option (Right to Buy) 23.40 2021-06-11 4 J 0 47267 0.00 A 2031-05-04 Class B Common Stock 47267 47267 D Immediately prior to the closing of the Issuer's initial public offering, each share of Preferred Stock automatically converted into one share of the Issuer's Common Stock on a one-for-one basis. The Preferred Stock had no expiration date. Immediately prior to the closing of the Issuer's initial public offering and following the conversion of each series of the Issuer's Preferred Stock into Common Stock, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7 and Rule 16b-3. Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and upon the occurrence of other events set forth in the Issuer's Certificate of Incorporation. The shares are held of record by Jason Gardner and Jocelyne Gardner as trustees of The Gardner 2008 Living Trust dated March 22, 2008. The shares are held of record by Jason Gardner, as trustee of the Jason Gardner 2020 GRAT, dated November 23, 2020. The shares are held of record by Jocelyne Gardner, the spouse of the Reporting Person, as trustee of the Jocelyne Gardner 2020 GRAT, dated November 23, 2020. The shares are held of record by trusts for the benefit of the Reporting Person's children and of which the trustee is an independent institution. The Reporting Person disclaims beneficial ownership of the shares held in the trusts for the benefit of the Reporting Person's children. The stock option vests in 48 monthly installments after February 24, 2019, subject to the Reporting Person's continued service to the Issuer as of each vesting date. The stock option is early exercisable by the Reporting Person. The stock option vests in 48 monthly installments after April 1, 2020, subject to the Reporting Person's continued service to the Issuer as of each vesting date. The stock option is early exercisable by the Reporting Person. The stock option shall vest with respect to 50% of the shares on January 1, 2023, and shall vest in 24 additional monthly installments thereafter, subject to the Reporting Person's continued service to the Issuer as of each vesting date. The stock option is early exercisable by the Reporting Person. The stock option vests in 48 monthly installments after January 1, 2021, subject to the Reporting Person's continued service to the Issuer as of each vesting date. The stock option is early exercisable by the Reporting Person. The stock option represents a long-term performance award as further described in the Issuer's registration statement on Form S-1 (File No. 333-256154). The stock option vests in up to seven equal tranches contingent upon the Issuer achieving certain common stock price targets over a period ending on the seven year anniversary of the date of the Issuer's initial public offering, but only up to 20% of the stock option may vest during the first four years following the Issuer's initial public offering. The vesting of the option is subject to the Reporting Person's continued service with the Issuer as of each such vesting date. /s/ Seth Weissman, Attorney-in-Fact 2021-06-15