SEC Form 4 · accession 0000807249-17-000198

LGL GROUP INC · LGL

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

10% Owner

Period of report

Nov 15, 2017

Accepted (ET)

Nov 16, 2017 · 2:39 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000061004

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Nov 15, 2017	X	283,119	$5.50	A	527,280	D
Common Stock^F1	Nov 15, 2017	X	591,425	$5.50	A	713,325	I	By: GGCP, Inc.
Common Stock^F2	Nov 15, 2017	X	72,567	$5.50	A	169,323	I	By: MJG-IV Limited Partnership

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Subscription Rights	$5.50	Nov 15, 2017	X	732,483	D	Sep 5, 2017	Nov 13, 2017	Common Stock	183,121	D
Subscription Rights^F1	$5.50	Nov 15, 2017	X	365,700	D	Sep 5, 2017	Nov 13, 2017	Common Stock	91,425	I
Subscription Rights^F2	$5.50	Nov 15, 2017	X	290,268	D	Sep 5, 2017	Nov 13, 2017	Common Stock	72,567	I

F1These shares are owned by GGCP, Inc. ("GGCP"). Mr. Gabelli is deemed the beneficial owner of the shares owned by GGCP since he is the Chief Executive Officer, a director and the controlling shareholder of GGCP. Mr. Gabelli has less than a 100% interest in GGCP and disclaims beneficial ownership of the shares held by GGCP in excess of his pecuniary interest.
F2These shares are owned by MJG-IV Limited Partnership ("MJG-IV"). Mr. Gabelli is deemed the beneficial owner of the shares owned by MJG-IV since he is the general partner. Mr. Gabelli has less than a 100% interest in MJG-IV and disclaims beneficial ownership of the shares held by MJG-IV in excess of his pecuniary interest.