'MKTG, INC.' Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows, 16 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-08-27: Reporting owner PARTICELLI MARC; Form 4; Security Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-08-27: Reporting owner PARTICELLI MARC; Form 4; Security Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-08-27: Reporting owner Horsey Charles W.; Form 4; Security Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2014-08-27: Reporting owner Marlas James C. | UCC-mktg Investment, LLC | UCC-mktg Partners, LLC; Form 4; Security Warrant to Purchase Common Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-08-27 | PARTICELLI MARC Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −221,064 0 owned after | $2.80 | 2014-09-02 | |
| 2014-08-27 | PARTICELLI MARC Director, 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,563 0 owned after | $2.80 | 2014-09-02 | |
| 2014-08-27 | Horsey Charles W. Director, Officer (President and CEO), 10% Owner | 4 | Warrant (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −98,251 0 owned after | $2.80 | 2014-09-02 | |
| 2014-08-27 | Marlas James C. | UCC-mktg Investment, LLC | UCC-mktg Partners, LLC 10% Owner | Director | Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +2,095,200 0 owned after | $2.80 | 2014-08-28 | |
| 2014-08-27 | Alfond Reis L. Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,095,200 0 owned after | $2.80 | 2014-08-28 | |
| 2014-08-27 | Landauer Jay F Director | 4 | Warrant to Purchase Common Stock Derivative · Indirect · See footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,095,200 0 owned after | $2.80 | 2014-08-28 | |
| 2012-08-03 holding as of filing | Landauer Jay F Director | 3 | Warrants to Purchase Common Stock Derivative · Indirect · See footnote | Holding | no price filed | 2012-08-03 | ||
| 2012-01-17 holding as of filing | Alfond Reis L. Director | 3 | Warrants to Purchase Common Stock Derivative · Indirect · See footnote | Holding | no price filed | 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 | Warrants to Purchase Common Stock Derivative · Indirect · See footnote | Holding | no price filed | 2009-12-17 | ||
| 2009-12-17 holding as of filing | Murray Arthur G Director | 3 | Warrants to Purchase Common Stock Derivative · Indirect · See footnote | Holding | no price filed | 2009-12-17 | ||
| 2009-12-15 | Horsey Charles W. Director, Officer (President) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +98,251 98,251 owned after | $0.32 | 2009-12-16 | |
| 2009-12-15 | PARTICELLI MARC Director | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +245,627 245,627 owned after | $0.32 | 2009-12-16 | |
| 2007-04-27 | GARDNER HERBERT M Director | 4/A | Warrant Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,766 0 owned after | $3.68 exercise price | 2007-05-04 | |
| 2007-04-27 | GARDNER HERBERT M Director | 4/A | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,766 40,766 owned after | $3.68 exercise price | 2007-05-04 | |
| 2007-04-27 | GARDNER HERBERT M Director | 4 | Warrant Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,766 0 owned after | $3.68 exercise price | 2007-05-01 | |
| 2007-04-27 | GARDNER HERBERT M Director | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,766 40,766 owned after | $3.68 exercise price | 2007-05-01 |