0001144204-13-059802.txt : 20131108 0001144204-13-059802.hdr.sgml : 20131108 20131108092347 ACCESSION NUMBER: 0001144204-13-059802 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131106 FILED AS OF DATE: 20131108 DATE AS OF CHANGE: 20131108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: 'mktg, inc.' CENTRAL INDEX KEY: 0000886475 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ADVERTISING [7310] IRS NUMBER: 061340408 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 75 9TH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 212-660-3800 MAIL ADDRESS: STREET 1: 75 9TH AVENUE CITY: NEW YORK STATE: NY ZIP: 10011 FORMER COMPANY: FORMER CONFORMED NAME: COACTIVE MARKETING GROUP INC DATE OF NAME CHANGE: 19991019 FORMER COMPANY: FORMER CONFORMED NAME: INMARK ENTERPRISES INC DATE OF NAME CHANGE: 19951012 FORMER COMPANY: FORMER CONFORMED NAME: HEALTH IMAGE MEDIA INC DATE OF NAME CHANGE: 19930328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Horsey Charles W. CENTRAL INDEX KEY: 0001452691 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20394 FILM NUMBER: 131202737 MAIL ADDRESS: STREET 1: 75 NINTH AVENUE, 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10011 4 1 v359690_form4.xml OWNERSHIP DOCUMENT X0306 4 2013-11-06 0 0000886475 'mktg, inc.' CMKG 0001452691 Horsey Charles W. C/O MKTG, INC. 75 NINTH AVENUE, 3RD FLOOR NEW YORK NY 10011 1 1 1 0 President and CEO Stock Option (Right to Buy) 2.00 2013-11-06 4 A 0 200000 0.00 A 2023-10-31 Common Stock 200000 200000 D Stock Option (Right to Buy) 2.00 2013-11-06 4 A 0 400000 0.00 A 2023-10-31 Common Stock 400000 400000 D This option vests and becomes exercisable with respect to 40,000 shares of Common Stock on each of October 31, 2014, October 31, 2015, October 31, 2016, October 31, 2017 and October 31, 2018. This option vests and becomes exercisable only upon a "Liquidity Event" with respect to the Issuer as follows: this option shall vest and become exercisable as to (i) 100,000 shares of Common Stock if such Liquidity Event results in consideration paid to the Issuer's stockholders of at least $2.50 per share of Common Stock but less than $2.80 per share of Common Stock, (ii) 200,000 shares of Common Stock if such Liquidity Event results in consideration paid to the Issuer's stockholders of at least $2.80 per share of Common Stock but less than $3.10 per share of Common Stock, (iii) 300,000 shares of Common Stock if such Liquidity Event results in consideration paid to the Issuer's stockholders of at least $3.10 per share of Common Stock but less than $6.00 per share of Common Stock, and (iv) all 400,000 shares of Common Stock if such Liquidity Event results in consideration paid to the Issuer's stockholders of $6.00 per share or more. /s/ Charles Horsey 2013-11-06