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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 11)
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MKTG SERVICES, INC.
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(Name of Issuer)
COMMON STOCK, $.01 PAR VALUE 570907105
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(Title of class of securities) (CUSIP number)
GENERAL ELECTRIC CAPITAL CORPORATION,
260 LONG RIDGE ROAD, STAMFORD, CONNECTICUT 06927
(203) 357-4000
ATTENTION: GENERAL COUNSEL
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(Name, address and telephone number of person authorized to receive notices
and communications)
DECEMBER 10, 2003
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(Date of event which requires filing of this statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box
[_].
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7(b) for other
parties to whom copies are to be sent.
(Continued on following pages)
(Page 1 of 16 Pages)
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CUSIP No. 570907105 13D Page 2 of
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1 NAMES OF REPORTING PERSONS: GENERAL ELECTRIC CAPITAL CORPORATION
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS: 13-1500700
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS: NOT APPLICABLE
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_]
---------------------- --------------------------------------------------------- ---------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
--------------------------------- -------- ----------------------------------------------------- -----------------------------------
NUMBER OF 7 SOLE VOTING POWER: 304,822 (SEE ITEM 5)
SHARES
-------- ----------------------------------------------------- -----------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 0
OWNED BY
-------- ----------------------------------------------------- -----------------------------------
EACH 9 SOLE DISPOSITIVE POWER: 304,822 (SEE ITEM 5)
REPORTING
-------- ----------------------------------------------------- -----------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 0
---------------------- ------------------------------------------------------------------------- -----------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 304,822 (SEE ITEM 5)
---------------------- -------------------------------------------------------------------------------------------------------- ----
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_]
---------------------- -------------------------------------------------------------------------------------------------------- ----
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 23.2% (SEE ITEM 5)
---------------------- --------------------------------------------------------- ---------------------------------------------------
14 TYPE OF REPORTING PERSON: CO
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2
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CUSIP No. 570907105 13D Page 3 of
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---------------------- --------------------------------------------------------- ---------------------------------------------------
1 NAME OF REPORTING PERSON: GENERAL ELECTRIC CAPITAL SERVICES, INC.
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE 06-1109503
PERSON:
---------------------- ----------------------------------------------------------------------------------------------------------- -
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
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3 SEC USE ONLY
---------------------- ----------------------------------- -------------------------------------------------------------------------
4 SOURCE OF FUNDS: NOT APPLICABLE
---------------------- ----------------------------------------------------------------------------------------------------------- -
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_]
---------------------- --------------------------------------------------------- ---------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE
--------------------------------- -------- ----------------------------------------------------- -----------------------------------
NUMBER OF 7 SOLE VOTING POWER: DISCLAIMED (SEE 11 BELOW)
SHARES
-------- ----------------------------------------------------- -----------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 0
OWNED BY
-------- ----------------------------------------------------- -----------------------------------
EACH 9 SOLE DISPOSITIVE POWER: DISCLAIMED (SEE 11 BELOW)
REPORTING
-------- ----------------------------------------------------- -----------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 0
---------------------- ------------------------------------------------------------------------- -----------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: BENEFICIAL OWNERSHIP OF ALL SHARES
DISCLAIMED BY GENERAL ELECTRIC
CAPITAL SERVICES, INC.
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_]
---------------------- ---------------------------------------------------------------------------------------------------- --------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): NOT APPLICABLE (SEE 11 ABOVE)
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14 TYPE OF REPORTING PERSON: CO
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3
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CUSIP No. 570907105 13D Page 4 of
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1 NAME OF REPORTING PERSON: GENERAL ELECTRIC COMPANY
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE 14-0689340
PERSON:
---------------------- ----------------------------------------------------------------------------------------------------------- -
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP: (A) [_]
(B) [X]
---------------------- -------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
---------------------- ----------------------------------- -------------------------------------------------------------------------
4 SOURCE OF FUNDS: NOT APPLICABLE
---------------------- ----------------------------------------------------------------------------------------------------------- -
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEM 2(d) OR 2(e): [_]
---------------------- --------------------------------------------------------- ---------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION: NEW YORK
--------------------------------- -------- ----------------------------------------------------- -----------------------------------
NUMBER OF 7 SOLE VOTING POWER: DISCLAIMED (SEE 11 BELOW)
SHARES
-------- ----------------------------------------------------- -----------------------------------
BENEFICIALLY 8 SHARED VOTING POWER: 0
OWNED BY
-------- ----------------------------------------------------- -----------------------------------
EACH 9 SOLE DISPOSITIVE POWER: DISCLAIMED (SEE 11 BELOW)
REPORTING
-------- ----------------------------------------------------- -----------------------------------
PERSON WITH 10 SHARED DISPOSITIVE POWER: 0
---------------------- ------------------------------------------------------------------------- -----------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: BENEFICIAL OWNERSHIP OF ALL SHARES
DISCLAIMED BY GENERAL ELECTRIC
COMPANY
---------------------- ----------------------------------------------------------------------------------------------------------- -
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: [_]
---------------------- ----------------------------------------------------------------------------------------------------------- -
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): NOT APPLICABLE (SEE 11
ABOVE)
---------------------- --------------------------------------------------------- ---------------------------------------------------
14 TYPE OF REPORTING PERSON: CO
---------------------- --------------------------------------------------------- --------------------------------------------------
4
This Amendment No. 11, amends the Schedule 13D filed on January 5,
1998, as amended, and is filed by General Electric Capital Corporation ("GE
Capital"), for and on behalf of itself, General Electric Capital Services, Inc.
("GECS") and General Electric Company ("GE")(collectively, the "Reporting
Persons"), with respect to the common stock, par value $0.01 per share ("Common
Stock"), of MKTG Services, Inc. (the "Company").
ITEMS 2. IDENTITY AND BACKGROUND.
(a) - (c) The name, business address, present principal occupation or
employment, and citizenship of each director and executive officer of GE
Capital, GECS and GE are set forth on Schedules I, II and III attached hereto,
respectively.
(d) - (e) Except as set forth in Schedules I, II and III attached
hereto, during the last five years none of GE Capital, GECS, GE, nor, to the
best of their knowledge, any of their directors or executive officers has been
(i) convicted of any criminal proceeding (excluding traffic violations or
similar misdemeanors) or (ii) a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and as a result of such proceeding
was or is subject to a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to federal or
state securities laws or finding any violation with respect to such laws.
(f) Except as set forth on Schedules I, II and III attached hereto,
to the knowledge of GE Capital, GECS and GE, all of their executive officers and
directors are U.S. citizens.
ITEM 4. PURPOSE OF TRANSACTION.
Item 4 is supplemented as follows:
On December 10, 2003, GE Capital transmitted a Form 144 for filing
with the Securities and Exchange Commission indicating its intention to sell an
aggregate of 90,430 shares of Common Stock (which amount is inclusive of the
sales disclosed in Item 5(c) of this Amendment No. 11).
GE Capital intends to review its investment in the Common Stock and
Warrants on a regular basis and as a result thereof may, (i) at any time or from
time to time, exercise the Warrants in whole or in part, or (ii) at any time or
from time to time, dispose of all or a portion of the Common Stock or Warrants
(or shares of Common Stock issuable upon exercise thereof). Except as set forth
above, neither GE Capital, GECS nor GE has any plans or proposals which relate
to or would result in the type of transactions set forth in subparagraphs (a)
through (j) of Item 4.
5
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(a) The responses of the Reporting Persons to Rows (11) through (13)
of the cover pages of this Amendment No. 11 are incorporated herein by
reference.
As of December 11, 2003, GE Capital beneficially owned in the
aggregate 304,822 shares of Common Stock representing approximately 23.2% of the
outstanding shares of Common Stock (such outstanding shares being determined in
accordance with Rule 13d-3(d)(1) under the Exchange Act to equal the number of
shares outstanding as of November 7, 2003 (i.e., 1,092,367 shares), as reported
in the Company's Quarterly Report on Form 10-Q for the quarterly period ended
September 30, 2003, plus the number of shares of Common Stock for which GE
Capital has the right to acquire). The shares beneficially owned by GE Capital
include the right to acquire 222,292 shares of Common Stock pursuant to a
warrant.
Except as disclosed in this Item 5(a), none of the Reporting Persons,
nor, to the best of their knowledge, any of their executive officers and
directors, beneficially owns any shares of Common Stock of the Company.
(b) The responses of the Reporting Persons to (i) Rows (7) through
(10) of the cover pages of this Amendment No. 11 and (ii) Item 5(a) hereof are
incorporated herein by reference.
Except as disclosed in this Item 5(b), none of the Reporting Persons,
nor, to the best of their knowledge, any of their executive officers or
directors presently has the power to vote or to direct the vote or to dispose of
or direct the disposition of any of the shares of Common Stock which they may be
deemed to beneficially own.
(c) On December 10, 2003, GE Capital sold an aggregate of 5,000
shares of Common Stock for an average sales price of $6.482 per share pursuant
to Rule 144 under the Securities Act of 1934, as amended, on the Nasdaq small
cap. On December 11, 2003, GE Capital sold an aggregate of 2,900 shares of
Common Stock for an average sales price of $6.2631 per share pursuant to Rule
144 under the Securities Act of 1934, as amended, on the Nasdaq small cap.
6
(d) Not applicable.
(e) Not applicable.
Neither the filing of this Amendment No. 11 nor anything contained
herein is intended as, or should be construed as, an admission that GECS or GE
is the "beneficial owner" of any shares of Common Stock.
ITEM 7. MATERIALS TO BE FILED AS EXHIBITS.
Exhibit 1 - Power of Attorney appointing Frank Ertl as agent and
attorney-in-fact for General Electric Capital Services, Inc.
7
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true, complete and
correct.
Dated: December 12, 2003
GENERAL ELECTRIC CAPITAL CORPORATION
By: /s/ Frank Ertl
-----------------------------------------
Name: Frank Ertl
Title: Department Operations Manager
GENERAL ELECTRIC CAPITAL SERVICES, INC.
By: /s/ Frank Ertl
-----------------------------------------
Name: Frank Ertl
Title: Attorney-in-fact
GENERAL ELECTRIC COMPANY
By: /s/ Peter Muniz
-----------------------------------------
Name: Peter Muniz
Title: Attorney-in-fact*
* Power of attorney previously filed with the Securities and Exchange Commission
as Exhibit 2 to Amendment 10 to Schedule 13D.
8
EXHIBIT INDEX
Exhibit No.
Exhibit 1 - Power of Attorney appointing Frank Ertl as agent and
attorney-in-fact for General Electric Capital Services, Inc.
9
SCHEDULE I TO AMENDMENT 11 TO SCHEDULE 13D
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Filed by General Electric Capital Corporation
DIRECTORS AND EXECUTIVE OFFICERS
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Set forth below are the name and title of each director and executive
officer of General Electric Capital Corporation. The business address of each
director and executive officer is c/o General Electric Capital Corporation, 120
Long Ridge Road, Stamford, Connecticut 06927. All persons are citizens of the
United States.
DIRECTORS
David L. Calhoun Jeffrey R. Immelt Ronald R. Pressman
James A. Colica Robert A. Jeffe John M. Samuels
Dennis D. Dammerman John H. Myers Keith S. Sherin
Michael D. Fraizer Michael A. Neal Robert C. Wright
Arthur H. Harper David R. Nissen
Benjamin W. Heineman, Jr. James A. Parke
EXECUTIVE OFFICERS
Dennis D. Dammerman Chairman
Michael D. Fraizer President
Arthur H. Harper President
Michael A. Neal President
David R. Nissen President
James A. Parke Vice Chairman and Chief Financial Officer
Ronald R. Pressman Executive Vice President
Kathryn A. Cassidy Senior Vice President, Corporate Treasury and
Global Funding Operation
James A. Colica Senior Vice President, Global Risk Management
Richard D'Avino Senior Vice President, Taxes
Robert L. Lewis Senior Vice President, Structured Finance Group
Philip D. Ameen Senior Vice President and Controller
Brian T. McAnaney Vice President, General Counsel and Secretary
I-1
SCHEDULE II TO AMENDMENT 11 TO SCHEDULE 13D
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Filed by General Electric Capital Services, Inc.
DIRECTORS AND EXECUTIVE OFFICERS
--------------------------------
Set forth below are the name and title of each director and executive
officer of General Electric Capital Services, Inc. The business address of each
director and executive officer is c/o General Electric Capital Services, Inc.,
120 Long Ridge Road, Stamford, Connecticut 06927. All persons are citizens of
the United States.
DIRECTORS
David L. Calhoun Jeffrey R. Immelt Ronald R. Pressman
James A. Colica Robert A. Jeffe John M. Samuels
Dennis D. Dammerman John H. Myers Keith S. Sherin
Michael D. Fraizer Michael A. Neal Robert C. Wright
Arthur H. Harper David R. Nissen
Benjamin W. Heineman, Jr. James A. Parke
EXECUTIVE OFFICERS
Dennis D. Dammerman Chairman of the Board
Michael D. Fraizer President
Arthur H. Harper President
Michael A. Neal President
David R. Nissen President
James A. Parke Vice Chairman and Chief Financial Officer
Ronald R. Pressman Executive Vice President
Kathryn A. Cassidy Senior Vice President, Corporate Treasury
and Global Funding Operation
James A. Colica Senior Vice President, Global Risk
Management
Richard D'Avino Senior Vice President, Taxes
Philip D. Ameen Senior Vice President and Controller
Steven F. Kluger Senior Vice President, Capital Markets
Brian T. McAnaney Vice President, General Counsel and
Secretary
II-1
SCHEDULE III TO AMENDMENT 11 TO SCHEDULE 13D
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Filed by General Electric Company
DIRECTORS AND EXECUTIVE OFFICERS
--------------------------------
DIRECTORS
PRESENT PRESENT
NAME BUSINESS ADDRESS PRINCIPAL OCCUPATION
---- ---------------- --------------------
J.I. Cash, Jr. General Electric Company Former Professor of Business
3135 Easton Turnpike Administration-Graduate School
Fairfield, CT 06828 of Business Administration,
Harvard University
D.D. Dammerman General Electric Company Vice Chairman of the Board and
3135 Easton Turnpike Executive Officer, General Electric
Fairfield, CT 06828 Company; Chairman, General Electric
Capital Services, Inc.
A.M. Fudge Young & Rubicam, Inc. Chairman and Chief Executive Officer,
285 Madison Avenue Young & Rubicam, Inc.
New York, NY 10017
C.X. Gonzalez Kimberly-Clark de Mexico, Chairman of the Board and Chief
S.A. de C.V. Jose Luis Executive Officer, Kimberly-Clark
Lagrange 103, Tercero Piso de Mexico, S.A. de C.V.
Colonia Los Morales
Mexico, D.F. 11510, Mexico
J.R. Immelt General Electric Company Chairman of the Board and
3135 Easton Turnpike Chief Executive Officer,
Fairfield, CT 06828 General Electric Company
A. Jung Avon Products, Inc. Chairman and Chief Executive
1345 Avenue of the Americas Officer, Avon Products, Inc.
New York, NY 10105
A.G. Lafley The Procter & Gamble Company Chairman of the Board,
1 Procter & Gamble Plaza President and Chief Executive,
Cincinnati, Oh 45202-3315 The Procter & Gamble Company
III-1
K.G. Langone Invemed Associates, Inc. Chairman, President and
375 Park Avenue Chief Executive Officer,
New York, NY 10152 Invemed Associates, Inc.
R.S. Larsen Johnson & Johnson Former Chairman and Chief
100 Albany Street Executive Officer
Suite 200
New Brunswick, NJ 08901
R.B. Lazarus Ogilvy & Mather Worldwide Chairman and Chief Executive
309 West 49th Street Officer
New York, NY 10019-7316
S. Nunn King & Spalding Partner, King & Spalding
191 Peachtree Street, N.E.
Atlanta, Georgia 30303
R.S. Penske Penske Corporation Chairman of the Board and President,
2555 Telegraph Road Penske Corporation
Bloomfield Hills, MI 48302-0954
G.L. Rogers General Electric Company Vice Chairman of the Board and
3135 Easton Turnpike Executive Officer, General
Fairfield, CT 06828 Electric Company
A.C. Sigler Champion International Corporation Retired Chairman of the Board and
1 Champion Plaza CEO and former Director, Champion
Stamford, CT 06921 International Corporation
R.J. Swieringa S.C. Johnson Graduate School Anne and Elmer Lindseth Dean
Cornell University and Professor of Accounting
207 Sage Hall
Ithaca, NY 14853-6201
D.A. Warner III J. P. Morgan Chase & Co., Former Chairman of the Board
The Chase Manhattan Bank and
Morgan Guaranty Trust Co.
of New York
345 Park Avenue
New York, NY 10154
R.C. Wright National Broadcasting Company, Inc. Vice Chairman of the Board and
30 Rockefeller Plaza Executive Officer, General Electric
New York, NY 10112 Company; Chairman and Chief Executive
Officer, National Broadcasting Company, Inc.
Citizenship
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C. X. Gonzalez Mexico
Andrea Jung Canada
All Others U.S.A.
III-2
EXECUTIVE OFFICERS
PRESENT PRESENT
NAME BUSINESS ADDRESS PRINCIPAL OCCUPATION
---- ---------------- --------------------
J.R. Immelt General Electric Company Chairman of the Board and
3135 Easton Turnpike Chief Executive Officer
Fairfield, CT 06828
P.D. Ameen General Electric Company Vice President and Comptroller
3135 Easton Turnpike
Fairfield, CT 06828
Ferdinando Beccalli General Electric Company Senior Vice President - Europe
3135 Easton Turnpike
Fairfield, CT 06828
C. T. Begley General Electric Company Vice President - GE Transportation Systems
2901 East Lake Road
Erie, PA 16531
D.L. Calhoun General Electric Company Senior Vice President - GE Aircraft Engines
1 Neumann Way
Cincinnati, OH 05215
J.P. Campbell General Electric Company Senior Vice President - GE Consumer Products
Appliance Park
Louisville, KY 40225
W.H. Cary General Electric Company Vice President - Financial Planning & Analysis
3135 Easton Turnpike
Fairfield, CT 06828
K.A. Cassidy General Electric Company Vice President and GE Treasurer
201 High Ridge Road
Stamford, CT 06905-3417
W.J. Conaty General Electric Company Senior Vice President - Human Resources
3135 Easton Turnpike
Fairfield, CT 06828
D.D. Dammerman General Electric Company Vice Chairman of the Board and
3135 Easton Turnpike Executive Officer, General Electric
Fairfield, CT 06828 Company; Chairman, General Electric
Capital Services, Inc.
III-3
S.C. Donnelly General Electric Company Senior Vice President - Corporate Research
One Research Circle and Development
Niskayuna, NY 12309
M.D. Fraizer General Electric Company Senior Vice President - GE Insurance
6620 W. Broad Street
Richmond, VA 23230
Y. Fujimori General Electric Company Senior Vice President - GE Asia
21 Mita 1-chome
Meguro-ku 3d Floor Alto
Tokyo, Japan 153-0062
A.H. Harper General Electric Company Senior Vice President - GE Equipment Management
260 Long Ridge Road
Stamford, CT 06927
B.W. Heineman, Jr. General Electric Company Senior Vice President - General Counsel and
3135 Easton Turnpike Secretary
Fairfield, CT 06828
J.M. Hogan General Electric Company Senior Vice President - GE Medical Systems
P.O. Box 414
Milwaukee, WI 53201
R.A. Jeffe General Electric Company Senior Vice President - Corporate Business
3135 Easton Turnpike Development
Fairfield, CT 06828
J. Krenicki General Electric Company Senior Vice President - GE Plastics
1 Plastics Avenue
Pittsfield, MA 01201
M.A. Neal General Electric Company Senior Vice President - GE Commercial
Finance 260 Long Ridge Road
Stamford, CT 06927
D.R. Nissen General Electric Company Senior Vice President - GE Consumer Finance
201 High Ridge Road
Stamford, CT 06905-3417
J.A. Parke General Electric Company Senior Vice President - General Electric
260 Long Ridge Road Company, Vice Chairman,
Stamford, CT 06927 GE Capital Corporation
R.R. Pressman General Electric Company Senior Vice President - Employers Reinsurance
5200 Metcalf Avenue Corporation
Overland Park, KS 66201
III-4
G.M. Reiner General Electric Company Senior Vice President - Chief Information Officer
3135 Easton Turnpike
Fairfield, CT 06828
J.G. Rice General Electric Company Senior Vice President - GE Power Systems
4200 Wildwood Parkway
Atlanta, GA 30339
G.L. Rogers General Electric Company Vice Chairman of the Board and Executive Officer
3135 Easton Turnpike
Fairfield, CT 06828
General Electric Company Senior Vice President - Finance and
K.S. Sherin 3135 Easton Turnpike Chief Financial Officer
Fairfield, CT 06828
L.G. Trotter General Electric Company Senior Vice President - GE Industrial Systems
41 Woodford Avenue
Plainville, CT 06062
R.F. Wacker General Electric Company Vice President - Corporate Investor Relations
3135 Easton Turnpike
Fairfield, CT 06828
W.A. Woodburn General Electric Company Senior Vice President - GE Specialty Materials
187 Danbury Road
Wilton, CT 06897
R.C. Wright National Broadcasting Company, Inc Vice Chairman of the Board and Executive Officer,
30 Rockefeller Plaza General Electric Company; Chairman and
New York, NY 10112 Chief Executive Officer, National
Broadcasting Company, Inc.
Citizenship
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Ferdinando Beccalli Italy
Yoshiaki Fujimori Japan
All Others U.S.A.
III-5