SEC Form 4 · accession 0001144204-16-107612

BALLANTYNE STRONG, INC. · BTN

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

Reporting owners

Joseph H Moglia

10% Owner

Fundamental Global Investors, LLC

Director · 10% Owner

Lewis M Johnson

Director · 10% Owner

Kyle Cerminara

Officer — Executive Chairman and CEO · Director · 10% Owner

Period of report

Jun 7, 2016

Accepted (ET)

Jun 9, 2016 · 10:25 am EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000946454

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	200	$5.11	A	29,939	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	550	$5.13	A	30,489	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	2,450	$5.14	A	32,939	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	2,700	$5.15	A	35,639	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	300	$5.17	A	35,939	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	900	$5.20	A	36,839	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	100	$5.21	A	36,939	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	100	$5.22	A	37,039	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	500	$5.23	A	37,539	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 7, 2016	P	100	$5.24	A	37,639	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 8, 2016	P	110	$5.09	A	37,749	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 8, 2016	P	2,090	$5.10	A	39,839	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 8, 2016	P	288	$5.11	A	40,127	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 8, 2016	P	1,412	$5.12	A	41,539	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 8, 2016	P	509	$5.13	A	42,048	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	Jun 8, 2016	P	491	$5.15	A	42,539	I	FGI Global Asset Allocation Master Fund, LP
Common Stock, par value $0.01 per share^F1,F2	holding	—	—		—	34,911	I	FGI Global Asset Allocation Fund, Ltd.
Common Stock, par value $0.01 per share^F1,F2	holding	—	—		—	745,561	I	Fundamental Global Partners, LP
Common Stock, par value $0.01 per share^F1,F2	holding	—	—		—	1,477,837	I	Fundamental Global Partners Master Fund, LP

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1The Reporting Persons beneficially own in the aggregate 2,300,848 shares of Common Stock, which represents approximately 16.2% 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, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Fund, Ltd. ("FGAA") and FGI Global Asset Allocation Master Fund, LP ("FGGM").
F2Due 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 FGPP, FGPM, FGAA and FGGM. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.