SEC Form 4/A · accession 0000807249-17-000211
LGL GROUP INC · LGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Mario J Gabelli
10% Owner
Period of report
Nov 15, 2017
Accepted (ET)
Nov 28, 2017 · 4:05 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 StockF3 | Nov 15, 2017 | X | 226,651 | $5.50 | A | 470,810 | D | |
| Common StockF3,F1 | Nov 15, 2017 | X | 309,077 | $5.50 | A | 430,977 | I | By: GGCP, Inc. |
| Common StockF2 | Nov 15, 2017 | X | 72,567 | $5.50 | A | 169,323 | I | By: MJG-IV Limited Partnership |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- 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.
- F3This Amendment is being filed to correct the number of shares the Reporting Person received as a result of the Issuer's rights offering.