Accession Number: | 0001144204-14-064443 |
Date: | 2014-10-29 |
Issuer: | BALLANTYNE STRONG, INC. (BTN) |
Original Submission Date: |
FUNDAMENTAL GLOBAL INVESTORS, LLC
4201 CONGRESS STREET
SUITE 140
CHARLOTTE, NC 28209
CERMINARA KYLE
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
4201 CONGRESS STREET, SUITE 140
CHARLOTTE, NC 28209
JOHNSON LEWIS M
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
4201 CONGRESS STREET, SUITE 140
CHARLOTTE, NC 28209
MOGLIA JOSEPH H
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
4201 CONGRESS STREET, SUITE 140
CHARLOTTE, NC 28209
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 2014-10-29 | P | 46,324 | a | $4.41 | 1,137,171 | indirect | ||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 2014-10-29 | P | 30,882 | a | $4.41 | 694,925 | indirect | ||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 2014-10-30 | P | 18,838 | a | $4.42 | 1,156,009 | indirect | ||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 2014-10-30 | P | 371 | a | $4.50 | 1,156,380 | indirect | ||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 2014-10-31 | P | 28,400 | a | $4.48 | 1,184,780 | indirect |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | the reporting persons beneficially own in the aggregate 1,879,705 shares of common stock, which represents approximately 13.3% of the company's outstanding shares of common stock. fg partners gp, llc (the "master fund general partner"), as general partner to fundamental global partners master fund, lp (the "master fund"), and fundamental global investors, llc (the "investment manager"), as the investment manager to the master fund, may be deemed to be beneficial owners of 1,184,780 shares of common stock that are directly owned by the master fund. |
f2 | fundamental global partners gp, llc (the "general partner"), as general partner to fundamental global partners, lp (the "fund"), and the investment manager, as the investment manager to the fund, may be deemed to be beneficial owners of 694,925 shares of common stock that are directly owned by the fund. |
f3 | as principals of the general partner, the master fund general partner and/or the investment manager, 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 the fund and the master fund. each reporting person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. |