SEC Form 4 · accession 0000807249-18-000147
LGL GROUP INC · LGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc Gabelli
Director · 10% Owner
Period of report
Aug 3, 2018
Accepted (ET)
Aug 6, 2018 · 4:21 pm EDT
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 StockF1,F2 | Nov 22, 2017 | X | 209,853 | $5.50 | A | 721,451 | I | Shares held by Ltd. Partnership |
| Common StockF2 | Aug 3, 2018 | O | 42,852 | $7.50 | A | 764,303 | I | Shares held by Ltd. Partnership |
| Common StockF3 | Aug 3, 2018 | O | 2,200 | $7.50 | A | 57,485 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were received in an over subscription of the Issuer's rights offering.
- F2These shares are beneficially owned by Venator Merchant Fund, L.P. ("Venator Fund") and Venator Global LLC ("Venator Global"). Venator Global, which is the sole general partner of Venator Fund, is deemed to have beneficial ownership of the securities owned by Venator Fund. Marc Gabelli is the President of Venator Fund.
- F3This filing does not include the holdings by GGCP, Inc. of 476,937 shares of LGL Group, Inc., which have been included in the Form 4/A filing of Mario J. Gabelli, dated August 6, 2018.