SEC Form 4 · accession 0001493152-16-015119
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
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 3:58 pm EST
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 | Nov 11, 2016 | P | 1,500 | $6.55 | A | 109,334 | D | |
| Common StockF1 | Nov 11, 2016 | P | 1,200 | $6.60 | A | 110,534 | D | |
| Common StockF1 | Nov 11, 2016 | P | 7,300 | $6.70 | A | 117,834 | D | |
| Common StockF1 | Nov 11, 2016 | P | 700 | $6.72 | A | 118,534 | D | |
| Common StockF1 | Nov 11, 2016 | P | 4,194 | $6.80 | A | 122,728 | D | |
| Common Stock | holding | — | — | — | 11,220 | I | By Spouse | |
| Common Stock | holding | — | — | — | 3,220 | I | By Minor Children | |
| Common Stock | holding | — | — | — | 4,220 | I | By Minor Children | |
| 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.
- 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.