'MKTG, INC.' Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows, 18 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-08-26: Reporting owner PARTICELLI MARC; Form 4; Security Series D Preferred Stock; Transaction C Conversion of derivative security.
- 2014-08-26: Reporting owner PARTICELLI MARC; Form 4; Security Series D Preferred Stock; Transaction C Conversion of derivative security.
- 2014-08-26: Reporting owner Horsey Charles W.; Form 4; Security Series D Preferred Stock; Transaction C Conversion of derivative security.
- 2014-08-26: Reporting owner Marlas James C. | UCC-mktg Investment, LLC | UCC-mktg Partners, LLC; Form 4; Security Series D Convertible Participating Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-08-26 | PARTICELLI MARC Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −171,995 0 owned after | $0.47 exercise price | 2014-09-02 | |
| 2014-08-26 | PARTICELLI MARC Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −19,111 0 owned after | $0.47 exercise price | 2014-09-02 | |
| 2014-08-26 | Horsey Charles W. Director, Officer (President and CEO), 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −76,442 0 owned after | $0.47 exercise price | 2014-09-02 | |
| 2014-08-26 | Marlas James C. | UCC-mktg Investment, LLC | UCC-mktg Partners, LLC 10% Owner | Director | Director | 4 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | +1,630,129 1,630,129 owned after | $0.00 | 2014-08-28 | |
| 2014-08-26 | Alfond Reis L. Director | 4 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,630,129 0 owned after | $0.00 | 2014-08-28 | |
| 2014-08-26 | Landauer Jay F Director | 4 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,630,129 0 owned after | $0.00 | 2014-08-28 | |
| 2014-07-13 | UCC-mktg Partners, LLC | Marlas James C. | UCC-mktg Investment, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | +502,371 1,630,129 owned after | $0.00 | 2014-07-15 | |
| 2014-07-13 | Alfond Reis L. Director | 4 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | +502,371 1,630,129 owned after | $0.00 | 2014-07-15 | |
| 2014-07-13 | Landauer Jay F Director | 4 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footote | C Conversion of derivative security | +502,371 1,630,129 owned after | $0.00 | 2014-07-15 | |
| 2014-07-13 | Horsey Charles W. Director, Officer (President and CEO), 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −23,558 76,442 owned after | $0.47 exercise price | 2014-07-15 | |
| 2014-07-13 | PARTICELLI MARC Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −53,005 171,995 owned after | $0.47 exercise price | 2014-07-15 | |
| 2014-07-13 | PARTICELLI MARC Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −5,889 19,111 owned after | $0.47 exercise price | 2014-07-15 | |
| 2012-08-03 holding as of filing | Landauer Jay F Director | 3 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footnote | Holding | $0.47 exercise price | 2012-08-03 | ||
| 2012-01-17 holding as of filing | Alfond Reis L. Director | 3 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footnote | Holding | $0.47 exercise price | 2012-01-17 | ||
| 2009-12-17 holding as of filing | UCC-mktg Investment, LLC | Marlas James C. | Garville Gregory J | UCC-mktg Partners, LLC 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footnote | Holding | $0.47 exercise price | 2009-12-17 | ||
| 2009-12-17 holding as of filing | Murray Arthur G Director | 3 | Series D Convertible Participating Preferred Stock Derivative · Indirect · See footnote | Holding | $0.47 exercise price | 2009-12-17 | ||
| 2009-12-15 | Horsey Charles W. Director, Officer (President) | 4 | Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +100,000 100,000 owned after | $0.68 | 2009-12-16 | |
| 2009-12-15 | PARTICELLI MARC Director | 4 | Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250,000 250,000 owned after | $0.68 | 2009-12-16 |