SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
PARTICELLI MARC

(Last) (First) (Middle)
15 GROVE LANE

(Street)
GREENWICH CT 06831

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
'mktg, inc.' [ CMKG ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
08/26/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/26/2014 C 365,946(1) A $0.47 998,253 D
Common Stock 08/26/2014 C 40,661(2) A $0.47 1,038,914(3) D(3)
Common Stock 08/27/2014 D 1,038,914(3) D $2.8(4) 0 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series D Preferred Stock $0.47 08/26/2014 C 171,995(1) (5) (5) Common Stock 365,946 $0 0 D
Series D Preferred Stock $0.47 08/26/2014 C 19,111(2) (5) (5) Common Stock 1,240,661 $0 0 I See Footnote(2)
Stock Option (right to buy) $3.39 08/27/2014 D 10,000 (6) 04/30/2015 Common Stock 10,000 $0(7) 0 D
Stock Option (right to buy) $2.13 08/27/2014 D 10,000 (6) 03/31/2016 Common Stock 10,000 $0.67(8) 0 D
Stock Option (right to buy) $2.26 08/27/2014 D 10,000 (6) 04/30/2017 Common Stock 10,000 $0.54(8) 0 D
Stock Option (right to buy) $2.35 08/27/2014 D 40,000 (6) 09/19/2017 Common Stock 40,000 $0.45(8) 0 D
Warrant (right to buy) $0.001 08/27/2014 D 221,064 (6) 12/15/2015 Common Stock 221,064 $2.799(9) 0 D
Warrant (right to buy) $0.001 08/27/2014 D 24,563 (6) 12/15/2015 Common Stock 24,563 $2.799(9) 0 I By Family Trust
Explanation of Responses:
1. The Reporting Person converted 171,995 shares of Series D Preferred Stock at a conversion price of $0.47 per share, resulting in his acquisition of 365,946 shares of common stock.
2. The Marc C. Particelli 2006 Family Trust (the "Family Trust") converted 19,111 shares of Series D Preferred Stock at a conversion price of $0.47 per share, resulting in its acquisition of 40,661 shares of common stock. The beneficiaries of the Family Trust are the Reporting Person's children, and the Reporting Person's spouse is a trustee of the Family Trust. The Reporting Person disclaims beneficial ownership of those shares held by the Family Trust, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
3. Includes (i) 940,923 shares owned directly by the Reporting Person; (ii) 18,300 shares owned by the Reporting Person's IRA; and (iii) 79,691 shares owned by the Family Trust.
4. Disposed of upon consummation of 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.
5. The Series D Preferred Stock is convertible into common stock at any time and has no expiration date.
6. Currently Exercisable.
7. Pursuant to the Merger Agreement, this out of the money option was cancelled.
8. Pursuant to the Merger Agreement, such stock option was cancelled and converted into the right to receive an amount in cash equal to the excess of $2.80 over the exercise price of such option.
9. Pursuant to the Merger Agreement, such warrant was cancelled and converted into the right to receive an amount in cash equal to the excess of $2.80 over the exercise price of such warrant.
/s/ Zev Bomrind, Attorney-in-Fact 08/27/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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