SEC Form 4 · accession 0001493152-18-017209
BALLANTYNE STRONG, INC. · BTN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lewis M Johnson
Director
Period of report
Dec 4, 2018
Accepted (ET)
Dec 7, 2018 · 4:30 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 | Dec 4, 2018 | A | 13,333 | $0.00 | A | 32,423 | D | |
| Common StockF2 | holding | — | — | — | 3,169,173 | I | Fundamental Global |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units granted as non-employee director compensation pursuant to the 2017 Omnibus Equity Compensation Plan. RSUs will vest on December 4, 2019, subject to continuous service through such vesting date.
- F2Held by the Fundamental Global entities. Due to his positions with Fundamental Global Investors, LLC and other Fundamental Global entities, Mr. Johnson may be deemed to be a beneficial owner of Common Stock held by Fundamental Global. Mr. Johnson disclaims any beneficial ownership of the shares referenced to herein except to the extent of his pecuniary interest therein. In addition, CWA Asset Management Group, LLC, 50% of which is owned by Fundamental Global Investors, LLC, holds 1,447,454 shares for customer accounts (including 8,500 shares held in Mr. Johnson's customer account).