-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, M7N2BaP+PMR4XcEQyJDACtjAbqxEMLH/9dJ1sZVR97dQc0yGM18nvgEFT8KM2emv LW1jihughG2G6PcWAv0tcg== 0001478026-09-000001.txt : 20091217 0001478026-09-000001.hdr.sgml : 20091217 20091217121453 ACCESSION NUMBER: 0001478026-09-000001 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091215 FILED AS OF DATE: 20091217 DATE AS OF CHANGE: 20091217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Murray Arthur G CENTRAL INDEX KEY: 0001478026 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20394 FILM NUMBER: 091246601 MAIL ADDRESS: STREET 1: 445 PARK AVENUE STREET 2: 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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 3 1 primary_doc.xml PRIMARY DOCUMENT X0203 3 2009-12-15 0 0000886475 'mktg, inc.' CMKG 0001478026 Murray Arthur G C/O UNION CAPITAL CORPORATION 445 PARK AVENUE, 14TH FLOOR NEW YORK NY 10022 1 0 0 0 Series D Convertible Participating Preferred Stock 0.47 Common Stock I See footnote Warrants to Purchase Common Stock 0.001 Common Stock I See footnote The Series D Convertible Participating Preferred Stock is immediately convertible. The conversion feature continues until December 15, 2015. 2,132,500 shares of Series D Convertible Participating Preferred Stock initially convert into 4,537,234 shares of Common Stock, subject to adjustment. Each share of Series D Convertible Participating Preferred Stock, par value $0.001 per share, is initially convertible into shares of Common Stock at a ratio of 1.00/.47. Represents securities directly owned by UCC-mktg Investment, LLC ("UCC-Investment"). UCC-mktg Partners, LLC ("UCC-Partners") is the manager of UCC-Investment, and the reporting person is a member of UCC-Partners. 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. The Warrants are exercisable on June 13, 2010 (180 days after issuance on December 15, 2009). The Warrants expire on December 15, 2015. The Warrants are exercisable for 2,095,200 shares of Common Stock. /s/ Arthur G. Murray 2009-12-17 -----END PRIVACY-ENHANCED MESSAGE-----