0001144204-17-032582.txt : 20170614 0001144204-17-032582.hdr.sgml : 20170614 20170614171937 ACCESSION NUMBER: 0001144204-17-032582 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170612 FILED AS OF DATE: 20170614 DATE AS OF CHANGE: 20170614 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: 17911884 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: 17911885 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: 17911886 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: 17911887 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: 17911888 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 v468962_4.xml FORM 4 X0306 4 2017-06-12 0 0000350868 ITERIS, INC. ITI 0001591508 Fundamental Global Investors, LLC 4201 CONGRESS STREET, SUITE 140 CHARLOTTE NC 28209 1 0 0 0 0000002186 RELM WIRELESS CORP 7100 TECHNOLOGY DRIVE WEST MELBOURNE FL 32904 1 0 0 0 0001619991 Cerminara Kyle C/O FUNDAMENTAL GLOBAL INVESTORS, LLC 4201 CONGRESS STREET, SUITE 140 CHARLOTTE NC 28209 1 0 0 0 0001619951 Johnson Lewis M C/O FUNDAMENTAL GLOBAL INVESTORS, LLC 4201 CONGRESS STREET, SUITE 140 CHARLOTTE NC 28209 0 0 0 1 Group Member 0001187586 MOGLIA JOSEPH H C/O FUNDAMENTAL GLOBAL INVESTORS, LLC 4201 CONGRESS STREET, SUITE 140 CHARLOTTE NC 28209 0 0 0 1 Group Member Common Stock, par value $0.10 per share 2017-06-12 4 S 0 90480 5.50 D 357087 I Fundamental Global Partners Master Fund, LP Common Stock, par value $0.10 per share 2017-06-12 4 S 0 94220 5.50 D 280258 I Fundamental Global Partners, LP Common Stock, par value $0.10 per share 2017-06-12 4 S 0 135800 5.50 D 1642349 I RELM Wireless Corporation Common Stock, par value $0.10 per share 2017-06-13 4 S 0 18270 5.47 D 338817 I Fundamental Global Partners Master Fund, LP Common Stock, par value $0.10 per share 2017-06-13 4 S 0 19027 5.47 D 261231 I Fundamental Global Partners, LP Common Stock, par value $0.10 per share 2017-06-13 4 S 0 27421 5.47 D 1614928 I RELM Wireless Corporation Common Stock, par value $0.10 per share 2017-06-14 4 J 0 88028 D 250789 I Fundamental Global Partners Master Fund, LP Common Stock, par value $0.10 per share 10751 D The Reporting Persons beneficially own in the aggregate 2,126,948 shares of Common Stock, which represent approximately 6.5% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC holds 16,050 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock, and Mr. D. Kyle Cerminara, who serves on the Board of Directors of the Company, holds 2,605 shares of Common Stock and 8,146 RSUs granted to him as director compensation. The RSUs vest in full on March 3, 2018, 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. Withdrawal and redemption in-kind from FGPM to a limited partner. FUNDAMENTAL GLOBAL INVESTORS, LLC /s/ D. Kyle Cerminara, Chief Executive Officer, Partner and Manager 2017-06-14 RELM WIRELESS CORP /s/ William P. Kelly, EVP and Chief Financial Officer 2017-06-14 /s/ D. Kyle Cerminara 2017-06-14 /s/ Lewis M. Johnson 2017-06-14 /s/ Joseph H. Moglia 2017-06-14