'mktg, inc.' 4
4 · 'mktg, inc.' · Filed Jul 15, 2014
Insider Transaction Report
Form 4
'mktg, inc.'CMKG
Alfond Reis L.
Director
Transactions
- Conversion
Common Stock
2014-07-13+1,068,874→ 1,068,874 total(indirect: See footnote) - Conversion
Series D Convertible Participating Preferred Stock
2014-07-13+502,371→ 1,630,129 total(indirect: See footnote)→ Common Stock (1,068,874 underlying)
Footnotes (4)
- [F1]UCC-mktg Investment, LLC ("UCC-Investment") converted 502,371 shares of Series D Convertible Participating Preferred Stock into Common Stock on July 13, 2014. The Series D Convertible Participating Preferred Stock was convertible into Common Stock at a conversion ratio of 1.00/.47.
- [F2]Represents securities directly owned by UCC-Investment. UCC-mktg Partners, LLC ("UCC-Partners") is the manager of UCC-Investment, and the reporting person is a member of both UCC-Partners and UCC-Investment. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
- [F3]The Series D Convertible Participating Preferred Stock is convertible at any time.
- [F4]The conversion feature continues until December 15, 2015.