SEC Form 4/A · accession 0001612877-15-000001

TRANS LUX Corp · TNLX

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

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Director · 10% Owner

Period of report

Jun 27, 2014

Accepted (ET)

Oct 28, 2015 · 4:45 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000099106

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Jun 27, 2014	P	333,333	$6.00	A	333,333	I	Director, member and majority owner of shares

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants^F2	$8.00	Jun 27, 2014	A	33,333	A	Jun 27, 2014	Jun 26, 2016	Common Stock	33,333	33,333	I

F1The shares are owned by Transtech LED Company Ltd. whose former name was Retop Industrial (Hong Kong) Limited. This entity's name changed into Transtech LED Company Ltd. on July 27, 2015. The shares were previously acquired by the same entity on June 27, 2014, prior to the name change. I am still a director, member and majority owner of Transtech LED Company Ltd. as of October 28, 2015. As such, I exercise voting and dispositive rights over the shares.
F2The warrants are owned by Transtech LED Company Ltd. whose former name was Retop Industrial (Hong Kong) Limited. This entity's name changed into Transtech LED Company Ltd. on July 27, 2015. The warrants were previously acquired by the same entity on June 27, 2014, prior to the name change. I am still a director, member and majority owner of Transtech LED Company Ltd. as of October 28, 2015. As such, I exercise voting and dispositive rights over the underlying shares.