0001144204-17-024422.txt : 20170504 0001144204-17-024422.hdr.sgml : 20170504 20170504104825 ACCESSION NUMBER: 0001144204-17-024422 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170428 FILED AS OF DATE: 20170504 DATE AS OF CHANGE: 20170504 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RELM WIRELESS CORP CENTRAL INDEX KEY: 0000002186 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 593486297 STATE OF INCORPORATION: NV FISCAL YEAR END: 1209 BUSINESS ADDRESS: STREET 1: 7100 TECHNOLOGY DRIVE CITY: WEST MELBOURNE STATE: FL ZIP: 32904 BUSINESS PHONE: 321-984-1414 MAIL ADDRESS: STREET 1: 7100 TECHNOLOGY DRIVE CITY: WEST MELBOURNE STATE: FL ZIP: 32904 FORMER COMPANY: FORMER CONFORMED NAME: ADAGE INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MOGLIA JOSEPH H CENTRAL INDEX KEY: 0001187586 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32644 FILM NUMBER: 17812369 MAIL ADDRESS: STREET 1: AMERITRADE HOLDING CORP STREET 2: 4211 S 102ND ST CITY: OMAHA STATE: NE ZIP: 68127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnson Lewis M CENTRAL INDEX KEY: 0001619951 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32644 FILM NUMBER: 17812370 MAIL ADDRESS: STREET 1: C/O FUNDAMENTAL GLOBAL INVESTORS, LLC STREET 2: 4201 CONGRESS STREET, SUITE 140 CITY: CHARLOTTE STATE: NC ZIP: 28209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cerminara Kyle CENTRAL INDEX KEY: 0001619991 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32644 FILM NUMBER: 17812371 MAIL ADDRESS: STREET 1: C/O FUNDAMENTAL GLOBAL INVESTORS, LLC STREET 2: 4201 CONGRESS STREET, SUITE 140 CITY: CHARLOTTE STATE: NC ZIP: 28209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BALLANTYNE STRONG, INC. CENTRAL INDEX KEY: 0000946454 STANDARD INDUSTRIAL CLASSIFICATION: PHOTOGRAPHIC EQUIPMENT & SUPPLIES [3861] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32644 FILM NUMBER: 17812372 BUSINESS ADDRESS: STREET 1: 4350 MCKINLEY ST CITY: OMAHA STATE: NE ZIP: 68112 BUSINESS PHONE: 4024534444 MAIL ADDRESS: STREET 1: 4350 MCKINLEY ST CITY: OMAHA STATE: NE ZIP: 68112 FORMER NAME: FORMER CONFORMED NAME: BALLANTYNE OF OMAHA INC DATE OF NAME CHANGE: 19950608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fundamental Global Investors, LLC CENTRAL INDEX KEY: 0001591508 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32644 FILM NUMBER: 17812373 BUSINESS ADDRESS: STREET 1: 4201 CONGRESS STREET, SUITE 140 CITY: CHARLOTTE STATE: NC ZIP: 28209 BUSINESS PHONE: 704-323-6851 MAIL ADDRESS: STREET 1: 4201 CONGRESS STREET, SUITE 140 CITY: CHARLOTTE STATE: NC ZIP: 28209 4 1 v466073_form4.xml OWNERSHIP DOCUMENT X0306 4 2017-04-28 0 0000002186 RELM WIRELESS CORP RWC 0001591508 Fundamental Global Investors, LLC 4201 CONGRESS STREET, SUITE 140 CHARLOTTE NC 28209 1 0 1 0 0000946454 BALLANTYNE STRONG, INC. 11422 MIRACLE HILLS DRIVE, SUITE 300 OMAHA NE 68154 1 0 1 0 0001619991 Cerminara Kyle C/O FUNDAMENTAL GLOBAL INVESTORS, LLC 4201 CONGRESS STREET, SUITE 140 CHARLOTTE NC 28209 1 0 1 0 0001619951 Johnson Lewis M C/O FUNDAMENTAL GLOBAL INVESTORS, LLC 4201 CONGRESS STREET, SUITE 140 CHARLOTTE NC 28209 1 0 1 0 0001187586 MOGLIA JOSEPH H C/O FUNDAMENTAL GLOBAL INVESTORS, LLC 4201 CONGRESS STREET, SUITE 140 CHARLOTTE NC 28209 0 0 1 0 Common Stock, par value $0.60 per share 2017-04-28 4 J 0 94391 5.075 D 585749 I Fundamental Global Partners, LP Common Stock, par value $0.60 per share 2017-04-28 4 J 0 94391 5.075 A 643710 I Fundamental Global Partners Master Fund, LP Common Stock, par value $0.60 per share 2017-05-03 4 J 0 91573 D 552137 I Fundamental Global Partners Master Fund, LP Common Stock, par value $0.60 per share 2017-05-03 4 J 0 91573 A 1083875 I Fundamental Global Holdings, LP Common Stock, par value $0.60 per share 106383 I FGI Global Asset Allocation Master Fund, LP Common Stock, par value $0.60 per share 1147087 I Ballantyne Strong, Inc. The Reporting Persons beneficially own in the aggregate 3,475,231 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 842,283 shares of Common Stock for accounts of individual investors, which represent approximately 6.1% of the Company's outstanding shares of Common Stock. Due to their positions with Fundamental Global Investors, LLC and affiliated entities, 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 FGPP, FGPM, FGGM and FGHP. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Represents a cross-trade between FGPP and FGPM, in which FGPP disposed of and FGPM acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. Withdrawal and redemption from FGPM and contribution to FGHP. FUNDAMENTAL GLOBAL INVESTORS LLC /s/ D. Kyle Cerminara, Chief Executive Officer, Partner and Manager 2017-05-03 BALLANTYNE STRONG, INC. /s/ D. Kyle Cerminara, Chief Executive Officer 2017-05-03 /s/ D. Kyle Cerminara 2017-05-03 /s/ Lewis M. Johnson 2017-05-03 /s/ Joseph H. Moglia 2017-05-03