0001493152-20-019352.txt : 20201013 0001493152-20-019352.hdr.sgml : 20201013 20201013164444 ACCESSION NUMBER: 0001493152-20-019352 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201009 FILED AS OF DATE: 20201013 DATE AS OF CHANGE: 20201013 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Roberson Mark D. CENTRAL INDEX KEY: 0001415593 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13906 FILM NUMBER: 201236853 MAIL ADDRESS: STREET 1: 27271 LAS RAMBLAS, STE. 200 CITY: MISSION VIEJO STATE: CA ZIP: 92691 FORMER NAME: FORMER CONFORMED NAME: Roberson Mark Daniel DATE OF NAME CHANGE: 20071018 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 2020-10-09 0 0000946454 BALLANTYNE STRONG, INC. BTN 0001415593 Roberson Mark D. 4201 CONGRESS STREET, SUITE 175 CHARLOTTE NC 28209 0 1 0 0 CEO Common Stock 2020-10-09 4 A 0 40000 0.00 A 157000 D Stock Options (Right to Buy) 2.25 2028-12-04 Common Stock 40000 40000 D Stock Options (Right to Buy) 2.89 2029-06-06 Common Stock 30000 30000 D Stock Options (Right to Buy) 1.6 2020-10-09 4 A 0 20000 0 A 2030-10-09 Common Stock 20000 20000 D Restricted stock units (RSUs) granted 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, October 9, 2020, subject to continuous service through such vesting dates. Includes (i) remaining unvested 33,334 RSUs granted on December 4, 2018 pursuant to the 2017 Omnibus Equity Compensation Plan and (ii) remaining unvested 43,334 RSUs granted on June 6, 2019 pursuant to the 2017 Omnibus Equity Compensation Plan. The RSUs vest 1/3 each year beginning on the first anniversary of the respective grant date, subject to continuous service through such vesting dates. Stock Options granted under the Company's 2017 Omnibus Equity Compensation Plan. Stock Options become exercisable 1/5 each year beginning on the first anniversary of the grant date, December 4, 2018. Stock Options granted under the Company's 2017 Omnibus Equity Compensation Plan. Stock Options become exercisable 1/5 each year beginning on the first anniversary of the grant date, June 6, 2019. Stock Options granted under the Company's 2017 Omnibus Equity Compensation Plan. Stock Options become exercisable 1/5 each year beginning on the first anniversary of the grant date, October 9, 2020. /s/ Mark D. Roberson 2020-10-13