0001354488-16-008266.txt : 20160908
0001354488-16-008266.hdr.sgml : 20160908
20160908134457
ACCESSION NUMBER: 0001354488-16-008266
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160906
FILED AS OF DATE: 20160908
DATE AS OF CHANGE: 20160908
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ITERIS, INC.
CENTRAL INDEX KEY: 0000350868
STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669]
IRS NUMBER: 952588496
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 1700 CARNEGIE AVENUE
STREET 2: SUITE 100
CITY: SANTA ANA
STATE: CA
ZIP: 92705
BUSINESS PHONE: 949-270-9400
MAIL ADDRESS:
STREET 1: 1700 CARNEGIE AVENUE
STREET 2: SUITE 100
CITY: SANTA ANA
STATE: CA
ZIP: 92705
FORMER COMPANY:
FORMER CONFORMED NAME: ITERIS HOLDINGS INC
DATE OF NAME CHANGE: 20031107
FORMER COMPANY:
FORMER CONFORMED NAME: ODETICS 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: 001-08762
FILM NUMBER: 161875652
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: 001-08762
FILM NUMBER: 161875653
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: 001-08762
FILM NUMBER: 161875654
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: RELM WIRELESS CORP
CENTRAL INDEX KEY: 0000002186
STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663]
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1209
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-08762
FILM NUMBER: 161875655
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 NAME:
FORMER CONFORMED NAME: ADAGE INC
DATE OF NAME CHANGE: 19920703
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: 001-08762
FILM NUMBER: 161875656
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
issuerdirect_section16.xml
PRIMARY DOCUMENT
X0306
4
2016-09-06
0
0000350868
ITERIS, INC.
ITI
0001591508
Fundamental Global Investors, LLC
4201 CONGRESS STREET, SUITE 140
CHARLOTTE
NC
28209
1
0000002186
RELM WIRELESS CORP
7100 TECHNOLOGY DRIVE
WEST MELBOURNE
FL
32904
1
Other
0001619991
Cerminara Kyle
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
4201 CONGRESS STREET, SUITE 140
CHARLOTTE
NC
28209
1
0001619951
Johnson Lewis M
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
4201 CONGRESS STREET, SUITE 140
CHARLOTTE
NC
28209
1
Other
0001187586
MOGLIA JOSEPH H
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
4201 CONGRESS STREET, SUITE 140
CHARLOTTE
NC
28209
1
Other
Common Stock, $0.10 par value per share
2016-09-06
4
P
0
30000
3.7867
A
218854
I
Fundamental Global Partners, LP
Common Stock, $0.10 par value per share
2016-09-06
4
P
0
70000
3.7867
A
503191
I
Fundamental Global Partners Master Fund, LP
Common Stock, $0.10 par value per share
2016-09-07
4
P
0
30000
3.7867
A
248854
I
Fundamental Global Partners, LP
Common Stock, $0.10 par value per share
2016-09-07
4
P
0
70000
3.7867
A
573191
I
Fundamental Global Partners Master Fund, LP
Common Stock, $0.10 par value per share
1778149
I
RELM Wireless Corporation
Common Stock, $0.10 par value per share
2605
D
The Reporting Persons beneficially own in the aggregate 2,600,194 shares of Common Stock, which represent approximately 8.1% of the Company?s outstanding shares of Common Stock. In addition, Mr. D. Kyle Cerminara, who serves on the Board of Directors of the Company, holds 2605 RSUs granted to him as director compensation. The RSUs vest in full on October 26, 2016, subject to continued service. 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?) and RELM Wireless Corporation (?RWC?).
Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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 and FGPM. Due to their positions with RWC, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be a beneficial owners of the shares of Common Stock disclosed as directly owned by RWC. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.
The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.7000 to $3.8600. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.
The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.6750 to $3.8500. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.
FUNDAMENTAL GLOBAL INVESTORS, LLC /s/ D. Kyle Cerminara, Chief Executive Officer, Partner and Manager
2016-09-08
RELM WIRELESS CORP /s/ William P. Kelly, EVP and Chief Financial Officer
2016-09-08
/s/ D. Kyle Cerminara
2016-09-08
/s/ Lewis M. Johnson
2016-09-08
/s/ Joseph H. Moglia
2016-09-08