0001493152-20-012666.txt : 20200706 0001493152-20-012666.hdr.sgml : 20200706 20200706171915 ACCESSION NUMBER: 0001493152-20-012666 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200701 FILED AS OF DATE: 20200706 DATE AS OF CHANGE: 20200706 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: 201014317 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 ownership.xml X0306 4 2020-07-01 0 0000946454 BALLANTYNE STRONG, INC. BTN 0001619951 Johnson Lewis M C/O BALLANTYNE STRONG, INC. 4201 CONGRESS STREET, SUITE 175 CHARLOTTE NC 28209 1 0 1 0 Common Stock 2020-07-01 4 A 0 28662 0 A 85648 D Common Stock 4744024 I Fundamental Global Restricted stock units granted as non-employee director compensation pursuant to the 2017 Omnibus Equity Compensation Plan. The RSUs will vest 1/3 each year beginning on the first anniversary of the grant date, July 1, 2020, subject to continuous service through such vesting dates. Includes remaining 16,376 RSUs granted on July 1, 2019 as non-employee director compensation, including RSUs granted for services as Co-Chairman of the Board, pursuant to the 2017 Omnibus Equity Compensation Plan (not including the 8,187 RSUs that have vested to date). The RSUs vest 1/3 each year beginning on the first anniversary of the grant date, subject to continuous service through such vesting dates. Held by the Fundamental Global entities. Due to his positions with Fundamental Global Investors, LLC and other Fundamental Global entities, Mr. Johnson may be deemed to be a beneficial owner of Common Stock held by Fundamental Global. Mr. Johnson disclaims any beneficial ownership of the shares referenced to herein except to the extent of his pecuniary interest therein. In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 709,924 shares of Common Stock (excluding D. Kyle Cerminara's, Lewis M. Johnson's and Joseph H. Moglia's shares held in CWA accounts) for the accounts of individual investors. /s/ Lewis M. Johnson 2020-07-06