Filing Details
- Accession Number:
- 0001144204-17-046371
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-09-01 16:23:45
- Reporting Period:
- 2017-08-30
- Accepted Time:
- 2017-09-01 15:23:45
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
946454 | Ballantyne Strong Inc. | BTN | Photographic Equipment & Supplies (3861) | 470587703 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1187586 | H Joseph Moglia | C/O Fundamental Global Investors, Llc 4201 Congress Street, Suite 140 Charlotte NC 28209 | No | No | Yes | No | |
1591508 | Fundamental Global Investors, Llc | 4201 Congress Street, Suite 140 Charlotte NC 28209 | Yes | No | Yes | No | |
1619951 | M Lewis Johnson | C/O Fundamental Global Investors, Llc 4201 Congress Street, Suite 140 Charlotte NC 28209 | Yes | No | Yes | No | |
1619991 | Kyle Cerminara | C/O Fundamental Global Investors, Llc 4201 Congress Street, Suite 140 Charlotte NC 28209 | Ceo & Chairman | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.01 Per Share | Acquisiton | 2017-08-30 | 15,738 | $6.41 | 750,659 | No | 4 | P | Indirect | Fundamental Activist Fund I, LP |
Common Stock, Par Value $0.01 Per Share | Acquisiton | 2017-08-31 | 17,525 | $6.59 | 768,184 | No | 4 | P | Indirect | Fundamental Activist Fund I, LP |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | Fundamental Activist Fund I, LP |
No | 4 | P | Indirect | Fundamental Activist Fund I, LP |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, Par Value $0.01 Per Share | 382,844 | Indirect | Fundamental Global Partners, LP |
Common Stock, Par Value $0.01 Per Share | 352,014 | Indirect | Fundamental Global Partners Master Fund, LP |
Common Stock, Par Value $0.01 Per Share | 853,619 | Indirect | Fundamental Global Holdings, LP |
Common Stock, Par Value $0.01 Per Share | 65,739 | Indirect | FGI Global Asset Allocation Master Fund, LP |
Common Stock, Par Value $0.01 Per Share | 34,911 | Indirect | FGI Global Asset Allocation Fund, Ltd. |
Footnotes
- The Reporting Persons beneficially own in the aggregate 2,457,311 shares of Common Stock, which represents approximately 17.0% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Activist Fund I, LP ("FAFI").
- CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,185,477 shares of Common Stock for the accounts of individual investors, which represents approximately 8.2% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 384,039 shares of Common Stock directly and through the Moglia Family Foundation. Messrs. Cerminara and Johnson also hold additional shares of Common Stock.
- Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGHP, FGAA, FGGM and FAFI.