Fazio Nicholas J 4
4 · TRANS LUX Corp · Filed Oct 18, 2019
Insider Transaction Report
Form 4
TRANS LUX CorpTNLX
Fazio Nicholas J
Director10% Owner
Transactions
- Discretionary TransactionSwap
Warrant
2019-03-04$0.97/sh−2,061,856$2,000,000→ 3,608,247 total(indirect: Director and Executive Officer of Unilumin North America (the holder of these warrants))Exercise: $0.97From: 2018-11-02Exp: 2020-11-02→ Common Stock (20,161,856 underlying) - Discretionary TransactionSwap
Warrant
2019-04-05$0.97/sh−3,608,247$3,500,000→ 0 total(indirect: Director and Executive Officer of Unilumin North America (the holder of these warrants))Exercise: $0.97From: 2018-11-02Exp: 2020-11-02→ Common Stock (3,608,247 underlying) - Discretionary TransactionSwap
Common Stock
2019-04-05$0.97/sh+3,608,247$3,500,000→ 6,985,892 total(indirect: Director and Executive Officer of Unilumin North America (the holder of these shares)) - Discretionary TransactionSwap
Common Stock
2019-03-04$0.97/sh+2,061,856$2,000,000→ 3,377,645 total(indirect: Director and Executive Officer of the owner of the shares, Unilumin North America)
Footnotes (2)
- [F1]As Director and Executive Officer of Unilumin North America (the holder of these shares), Mr. Fazio has voting and dispositive power over the shares, but does not have a pecuniary interest in these shares.
- [F2]As Director and Executive Officer of Unilumin North America (the holder of these warrants), Mr. Fazio has voting and dispositive power over the warrants, but does not have a pecuniary interest in these warrants.