-----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, OxxEH8qp12MN5B/8PBF8prF69yuwQJ3Yvq2J34v4dlrA+pKoVHyFfxg8dl6dGW1i EHT6vRo9MVWmlwP63moo/Q== 0001019687-09-003532.txt : 20091005 0001019687-09-003532.hdr.sgml : 20091005 20091005171646 ACCESSION NUMBER: 0001019687-09-003532 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090930 ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20091005 DATE AS OF CHANGE: 20091005 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ACE MARKETING & PROMOTIONS INC CENTRAL INDEX KEY: 0001084267 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ADVERTISING [7310] IRS NUMBER: 113427886 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-51160 FILM NUMBER: 091106355 BUSINESS ADDRESS: STREET 1: 457 ROCKAWAY AVENUE CITY: VALLEY STREAM STATE: NY ZIP: 11581 BUSINESS PHONE: 516-256-7766 MAIL ADDRESS: STREET 1: 457 ROCKAWAY AVENUE CITY: VALLEY STREAM STATE: NY ZIP: 11581 8-K 1 ace_8k-100509.txt U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 5, 2009 (September 30, 2009) Ace Marketing & Promotions, Inc. --------------------------------- (Exact name of registrant as specified in its charter) New York -------- (State or jurisdiction of incorporation or organization) 000-51160 --------- (Commission File Number) 11-3427886 ---------- (I.R.S. Employer Identification Number) 457 Rockaway Avenue, Valley Stream, NY 11582 -------------------------------------------- (Address of principal executive offices (Zip Code) Registrant's telephone number: (516) 256-7766 ------------------------------------------------------------- (Former name or former address, if changed since last report) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): [ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) [ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) [ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17CFR 240.14d-2(b)) [ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17CFR 240.13e-4(c)) ITEM 7.01. REGULATION FD DISCLOSURE On October 5, 2009, the Company issued a press release, a copy of which is appended hereto. ITEM 8.01 OTHER EVENTS. Ace Marketing & Promotions, Inc. announces that its Class A, Class B and Class C Warrants expired on the close of business on September 30, 2009. None of these Warrants were exercised prior to their expiration. The Class A and Class B Warrants had an exercise price of $2.00 per share and the Class C Warrants had an exercise price of $1.75 per share. ITEM 9.01. FINANCIAL STATEMENTS AND EXHIBITS. Exhibit Description - ------- ----------- 99.1 Press release dated October 5, 2009. (Filed herewith.) SIGNATURE Pursuant to the requirements of Section 13 or 15(b) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. ACE MARKETING & PROMOTIONS, INC. Dated: October 5, 2009 By: /s/ Michael D. Trepeta -------------------------------- Michael D. Trepeta, President EX-99.1 2 ace_8kex99-1.txt PRESS RELEASE EXHIBIT 99.1 For Immediate Release ACE MARKETING & PROMOTIONS, INC. ANNOUNCES THAT ITS CLASS A, CLASS B AND CLASS C WARRANTS HAVE EXPIRED. Valley Stream, N.Y. (Marketwire -October 5, 2009) Ace Marketing & Promotions, Inc. (OTCBB: AMKT) announced today that its Class A, Class B and Class C Warrants expired at the close of business on September 30, 2009. None of these Warrants were exercised prior to their expiration. The Class A and Class B Warrants had an exercise price of $2.00 per share and the Class C Warrants had an exercise price of $1.75 per share. ABOUT ACE MARKETING - ------------------- Ace Marketing & Promotions Inc., based in New York, is a full-service sports & entertainment promotional marketing company offering a wide array of business solutions which include mobile website development, portable media, ACE CMS Platform, print solutions and Branded Merchandise & Fulfillment. Ace Marketing & Promotions Inc. is a leader in Proximity Marketing(SM) with proprietary Bluetooth and Wi-Fi integrated technology that establishes the benchmark for how multimedia messages are being delivered. Established in 1998, the Company has built a successful, scalable business platform capable of consolidating a portion of the promotional products industry. Proximity Marketing(SM), Rockzimity, and Rockzimity Marketing are service marks of Ace Marketing & Promotions Inc. 2009. Ace's Corporate Overview is available at http://www.acemarketing.net on the "About Us" tab. Ace has recently added several new revenue stream models. The long-term strategic plan is for Ace to find new opportunities while leveraging its core competencies. For a demo of Ace's Proximity Marketing you can visit http://www.acemarketingdemo.com. For additional information, a copy of Ace's Form 10-K can be obtained on the Internet by going to www.acemarketing.net, clicking on links and then clicking on SEC Filings. Safe Harbor Statement Under the Private Securities Litigation Reform Act of 1995. CERTAIN STATEMENTS IN THIS PRESS RELEASE CONSTITUTE "FORWARD-LOOKING STATEMENTS" WITHIN THE MEANING OF THE PRIVATE SECURITIES LITIGATION REFORM ACT OF 1995. SUCH FORWARD-LOOKING STATEMENTS INVOLVE KNOWN AND UNKNOWN RISKS, UNCERTAINTIES AND OTHER FACTORS WHICH MAY CAUSE THE ACTUAL RESULTS, PERFORMANCE OR ACHIEVEMENTS OF THE COMPANY TO BE MATERIALLY DIFFERENT FROM ANY FUTURE RESULTS, PERFORMANCES OR ACHIEVEMENTS EXPRESS OR IMPLIED BY SUCH FORWARD-LOOKING STATEMENTS. THE FORWARD-LOOKING STATEMENTS ARE SUBJECT TO RISKS AND UNCERTAINTIES INCLUDING, WITHOUT LIMITATION, CHANGES IN LEVELS OF COMPETITION, POSSIBLE LOSS OF CUSTOMERS, AND THE COMPANY'S ABILITY TO ATTRACT AND RETAIN KEY PERSONNEL. Media Contact: Ace Marketing & Promotions, Inc. Legend Securities, Inc. Thomas Wagner 800-385-5790 x152 718-233-2600 x152 twagner@legendsecuritiesinc.com -----END PRIVACY-ENHANCED MESSAGE-----