SEC Form 4 · accession 0001493152-16-012628
BALLANTYNE STRONG, INC. · BTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kyle Cerminara
Officer — CEO and Executive Chairman · Director · 10% Owner
Period of report
Aug 16, 2016
Accepted (ET)
Aug 17, 2016 · 4:15 pm 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 StockF1 | Aug 16, 2016 | P | 3,000 | $5.57 | A | 107,834 | D | |
| Common Stock | Aug 16, 2016 | P | 2,000 | $5.57 | A | 3,220 | I | By Minor Children |
| Common Stock | Aug 16, 2016 | P | 1,000 | $5.65 | A | 4,220 | I | By Minor Children |
| Common Stock | holding | — | — | — | 11,220 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 2,324,048 | I | Fundamental Global |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 30,000 Restricted Stock Units ("RSUs") granted under the Company's 2010 Long-Term Incentive Plan on November 22, 2015 and 6,651 RSUs granted under the Company's 2014 Non-Employee Directors' Restricted Stock Plan.
- F2Held by the Fundamental Global entities. Due to his positions with Fundamental Global Investors, LLC and other Fundamental Global entities, Mr. Cerminara may be deemed to be a beneficial owner of Common Stock held by Fundamental Global. Mr. Cerminara disclaims any beneficial ownership of the shares referenced to herein except to the extent of his pecuniary interest therein.