0001420506-21-000813.txt : 20210528
0001420506-21-000813.hdr.sgml : 20210528
20210528140300
ACCESSION NUMBER: 0001420506-21-000813
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200526
FILED AS OF DATE: 20210528
DATE AS OF CHANGE: 20210528
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: 001-13906
FILM NUMBER: 21979110
BUSINESS ADDRESS:
STREET 1: 136 CORPORATE PARK DRIVE, SUITE G
CITY: MOORESVILLE
STATE: NC
ZIP: 28117
BUSINESS PHONE: 888-838-6326
MAIL ADDRESS:
STREET 1: 136 CORPORATE PARK DRIVE, SUITE G
CITY: MOORESVILLE
STATE: NC
ZIP: 28117
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: 001-13906
FILM NUMBER: 21979107
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: Cerminara Kyle
CENTRAL INDEX KEY: 0001619991
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13906
FILM NUMBER: 21979109
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: Johnson Lewis M
CENTRAL INDEX KEY: 0001619951
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-13906
FILM NUMBER: 21979108
MAIL ADDRESS:
STREET 1: C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
STREET 2: 4201 CONGRESS STREET, SUITE 140
CITY: CHARLOTTE
STATE: NC
ZIP: 28209
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BALLANTYNE STRONG, INC.
CENTRAL INDEX KEY: 0000946454
STANDARD INDUSTRIAL CLASSIFICATION: PHOTOGRAPHIC EQUIPMENT & SUPPLIES [3861]
IRS NUMBER: 470587703
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4201 CONGRESS STREET
STREET 2: SUITE 175
CITY: CHARLOTTE
STATE: NC
ZIP: 28209
BUSINESS PHONE: (704) 994-8279
MAIL ADDRESS:
STREET 1: 4201 CONGRESS STREET
STREET 2: SUITE 175
CITY: CHARLOTTE
STATE: NC
ZIP: 28209
FORMER COMPANY:
FORMER CONFORMED NAME: BALLANTYNE OF OMAHA INC
DATE OF NAME CHANGE: 19950608
4
1
doc4_930.xml
PRIMARY DOCUMENT
X0306
4
2020-05-26
0
0000946454
BALLANTYNE STRONG, INC.
BTN
0001591508
Fundamental Global Investors, LLC
108 GATEWAY BOULEVARD
SUITE 204
MOORESVILLE
NC
28117
1
0
1
0
0001619991
Cerminara Kyle
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
108 GATEWAY BOULEVARD, SUITE 204
MOORESVILLE
NC
28117
1
0
1
0
0001619951
Johnson Lewis M
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
108 GATEWAY BOULEVARD, SUITE 204
MOORESVILLE
NC
28117
0
0
1
0
0001187586
MOGLIA JOSEPH H
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
108 GATEWAY BOULEVARD, SUITE 204
MOORESVILLE
NC
28117
0
0
1
0
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2021-05-26
4
P
0
34911
5.19
A
59211
I
FUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2021-05-26
4
S
0
34911
5.19
D
0
I
FGI GLOBAL ASSET ALLOCATION FUND, LTD.
COMMON STOCK, PAR VALUE $0.01 PER SHARE
1793591
I
FUNDAMENTAL ACTIVIST FUND I, LP
COMMON STOCK, PAR VALUE $0.01 PER SHARE
853619
I
FUNDAMENTAL GLOBAL HOLDINGS, LP
COMMON STOCK, PAR VALUE $0.01 PER SHARE
2188243
I
FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP
COMMON STOCK, PAR VALUE $0.01 PER SHARE
270123
I
FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP
The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% 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 Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA").
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 FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. 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 FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons.
Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock.
FUNDAMENTAL GLOBAL INVESTORS, LLC/S/ D. KYLE CERMINARA, CHIEF EXECUTIVE OFFICER, PARTNER AND MANAGER
2021-05-28
/S/ D. KYLE CERMINARA
2021-05-28
/S/ LEWIS M. JOHNSON
2021-05-28
/S/ JOSEPH H. MOGLIA
2021-05-28