4//SEC Filing
'mktg, inc.' 4
Accession 0001405086-14-000268
CIK 0000886475operating
Filed
Aug 27, 8:00 PM ET
Accepted
Aug 28, 3:09 PM ET
Size
17.6 KB
Accession
0001405086-14-000268
Insider Transaction Report
Form 4
'mktg, inc.'CMKG
UCC-mktg Investment, LLC
10% Owner
Transactions
- Conversion
Common Stock
2014-08-26+3,468,360→ 4,724,393 total(indirect: See footnote) - Disposition to Issuer
Warrant to Purchase Common Stock
2014-08-27$2.80/sh+2,095,200$5,864,465→ 0 total(indirect: See footnote)Exercise: $0.00Exp: 2015-12-15→ Common Stock (2,095,200 underlying) - Conversion
Series D Convertible Participating Preferred Stock
2014-08-26+1,630,129→ 1,630,129 total(indirect: See footnote)Exp: 2015-12-15→ Common Stock (1,068,874 underlying) - Disposition to Issuer
Common Stock
2014-08-27$2.80/sh−4,724,393$13,228,300→ 0 total(indirect: See footnote)
UCC-mktg Partners, LLC
10% Owner
Transactions
- Conversion
Common Stock
2014-08-26+3,468,360→ 4,724,393 total(indirect: See footnote) - Conversion
Series D Convertible Participating Preferred Stock
2014-08-26+1,630,129→ 1,630,129 total(indirect: See footnote)Exp: 2015-12-15→ Common Stock (1,068,874 underlying) - Disposition to Issuer
Common Stock
2014-08-27$2.80/sh−4,724,393$13,228,300→ 0 total(indirect: See footnote) - Disposition to Issuer
Warrant to Purchase Common Stock
2014-08-27$2.80/sh+2,095,200$5,864,465→ 0 total(indirect: See footnote)Exercise: $0.00Exp: 2015-12-15→ Common Stock (2,095,200 underlying)
Marlas James C.
10% Owner
Transactions
- Disposition to Issuer
Common Stock
2014-08-27$2.80/sh−4,724,393$13,228,300→ 0 total(indirect: See footnote) - Disposition to Issuer
Warrant to Purchase Common Stock
2014-08-27$2.80/sh+2,095,200$5,864,465→ 0 total(indirect: See footnote)Exercise: $0.00Exp: 2015-12-15→ Common Stock (2,095,200 underlying) - Conversion
Common Stock
2014-08-26+3,468,360→ 4,724,393 total(indirect: See footnote) - Conversion
Series D Convertible Participating Preferred Stock
2014-08-26+1,630,129→ 1,630,129 total(indirect: See footnote)Exp: 2015-12-15→ Common Stock (1,068,874 underlying)
Footnotes (7)
- [F1]UCC-mktg Investment, LLC ("UCC-Investment") converted 1,630,129 shares of Series D Convertible Participating Preferred Stock into Common Stock (the "Converted Shares") on August 26, 2014. The Series D Convertible Participating Preferred Stock was convertible into Common Stock at a conversion ratio of 1.00/.47.
- [F2]Represents (i) the Converted Shares, which are directly owned by UCC-Investment, (ii) 152,159 shares of Common Stock owned by the James C. Marlas 2007 Charitable Remainder UniTrust, of which Mr. Marlas and his wife are the lifetime beneficiaries and Mr. Marlas serves as the sole trustee, (iii) 15,000 shares of Common Stock owned by the James C. Marlas Revocable Trust dated 11/09/07, of which Mr. Marlas is the sole owner and beneficiary and (iv) 20,000 shares of Common Stock held in an individual retirement account for the benefit of Mr. Marlas, and reported as being directly beneficially owned by Mr. Marlas (collectively with (ii) and (iii) above, the "Marlas Shares"). No other reporting person has any pecuniary interest in any of the Marlas Shares.
- [F3]Represents the Marlas Shares and the Converted Shares. UCC-mktg Partners, LLC ("UCC-Partners") is the manager of UCC-Investment. Mr. Marlas is a Managing Director of UCC-Partners. The reporting persons disclaim beneficial ownership of these securities except to the extent of such reporting persons 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.
- [F4]Disposed of upon consummation of the merger (the "Merger") contemplated by the Agreement and Plan of Merger by and among the Issuer, Aegis Lifestyle, Inc. and Morgan Acquisition, Inc., dated as of May 27, 2014 (the "Merger Agreement"). In accordance with the terms of the Merger Agreement, each share of common stock was exchanged for the right to receive $2.80 in cash.
- [F5]The Series D Convertible Participating Preferred Stock is convertible at any time.
- [F6]Represents securities directly owned by UCC-Investment. UCC-Partners is the manager of UCC-Investment. Mr. Marlas is a Managing Director of UCC-Partners. The reporting persons disclaim beneficial ownership of these securities except to the extent of such reporting persons 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.
- [F7]Pursuant to the Merger Agreement, such warrant was cancelled and converted into the right to receive an amount of cash equal to the excess of $2.80 over the exercise price of such warrant.
Documents
Issuer
'mktg, inc.'
CIK 0000886475
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000886475
Filing Metadata
- Form type
- 4
- Filed
- Aug 27, 8:00 PM ET
- Accepted
- Aug 28, 3:09 PM ET
- Size
- 17.6 KB