4//SEC Filing
MOGLIA JOSEPH H 4
Accession 0001420506-20-001354
CIK 0000946454other
Filed
Nov 29, 7:00 PM ET
Accepted
Nov 30, 11:37 AM ET
Size
17.3 KB
Accession
0001420506-20-001354
Insider Transaction Report
Form 4
Fundamental Global Investors, LLC
10% Owner
Transactions
- Purchase
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2020-11-27$1.95/sh+1,280$2,497→ 259,484 total(indirect: FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP) - Purchase
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2020-11-27$1.95/sh+2,376$4,634→ 2,168,529 total(indirect: FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP)
Holdings
- 853,619(indirect: FUNDAMENTAL GLOBAL HOLDINGS, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 24,300(indirect: FUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 1,793,591(indirect: FUNDAMENTAL ACTIVIST FUND I, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 34,911(indirect: FGI GLOBAL ASSET ALLOCATION FUND, LTD.)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
Cerminara Kyle
10% Owner
Transactions
- Purchase
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2020-11-27$1.95/sh+1,280$2,497→ 259,484 total(indirect: FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP) - Purchase
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2020-11-27$1.95/sh+2,376$4,634→ 2,168,529 total(indirect: FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP)
Holdings
- 1,793,591(indirect: FUNDAMENTAL ACTIVIST FUND I, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 853,619(indirect: FUNDAMENTAL GLOBAL HOLDINGS, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 24,300(indirect: FUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 34,911(indirect: FGI GLOBAL ASSET ALLOCATION FUND, LTD.)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
MOGLIA JOSEPH H
10% Owner
Transactions
- Purchase
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2020-11-27$1.95/sh+2,376$4,634→ 2,168,529 total(indirect: FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP) - Purchase
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2020-11-27$1.95/sh+1,280$2,497→ 259,484 total(indirect: FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP)
Holdings
- 34,911(indirect: FGI GLOBAL ASSET ALLOCATION FUND, LTD.)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 24,300(indirect: FUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 1,793,591(indirect: FUNDAMENTAL ACTIVIST FUND I, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 853,619(indirect: FUNDAMENTAL GLOBAL HOLDINGS, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
Johnson Lewis M
10% Owner
Transactions
- Purchase
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2020-11-27$1.95/sh+2,376$4,634→ 2,168,529 total(indirect: FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP) - Purchase
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2020-11-27$1.95/sh+1,280$2,497→ 259,484 total(indirect: FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP)
Holdings
- 1,793,591(indirect: FUNDAMENTAL ACTIVIST FUND I, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 34,911(indirect: FGI GLOBAL ASSET ALLOCATION FUND, LTD.)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 853,619(indirect: FUNDAMENTAL GLOBAL HOLDINGS, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
- 24,300(indirect: FUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP)
COMMON STOCK, PAR VALUE $0.01 PER SHARE
Footnotes (5)
- [F1]The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,134,434 shares of Common Stock, which represents approximately 34.7% 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 Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA").
- [F2]In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock.
- [F3]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 FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.
- [F4]Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it.
- [F5]The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.93 and $1.96 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.
Documents
Issuer
BALLANTYNE STRONG, INC.
CIK 0000946454
Entity typeother
Related Parties
1- filerCIK 0001187586
Filing Metadata
- Form type
- 4
- Filed
- Nov 29, 7:00 PM ET
- Accepted
- Nov 30, 11:37 AM ET
- Size
- 17.3 KB