0001493152-21-016246.txt : 20210706 0001493152-21-016246.hdr.sgml : 20210706 20210706170054 ACCESSION NUMBER: 0001493152-21-016246 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210701 FILED AS OF DATE: 20210706 DATE AS OF CHANGE: 20210706 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: 211074913 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 2021-07-01 0 0000946454 BALLANTYNE STRONG, INC. BTN 0001619991 Cerminara Kyle C/O BALLANTYNE STRONG, INC. 4201 CONGRESS STREET, SUITE 175 CHARLOTTE NC 28209 1 0 1 0 Common Stock 2021-07-01 4 A 0 10504 0 A 354290 D Common Stock 7540 I By 401(k) Plan Common Stock 11220 I By Spouse Common Stock 4220 I By Minor Children Common Stock 5164787 I Fundamental Global Stock Options (Right to Buy) 4.7 2028-01-26 Common Stock 50000 50000 D Stock Options (Right to Buy) 2.89 2029-06-06 Common Stock 30000 30000 D Held by the Fundamental Global entities. Due to his positions with Fundamental Global Investors, LLC, and other Fundamental Global entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock held by Fundamental Global. Mr. Cerminara disclaims beneficial ownership of the shares referred to herein except to the extent of his pecuniary interest therein. Restricted Stock Units (RSUs) granted as non-employee director compensation pursuant to the 2017 Omnibus Equity Compensation Plan. These RSUs will vest in full on the first anniversary of the grant date, July 1, 2021, subject to continuous service through such vesting date. Includes (i) remaining unvested 25,000 RSUs granted on June 6, 2019, pursuant to the 2017 Omnibus Equity Compensation Plan, and (ii) 19,108 unvested RSUs granted on July 1, 2020, as non-employee director compensation pursuant to the 2017 Omnibus Equity Compensation Plan. These RSUs vest 1/3 each year beginning on the first anniversary of the grant date, subject to continuous service through such vesting dates. Stock Options granted under the Company's 2017 Omnibus Equity Compensation Plan. These Stock Options become exercisable 1/5 each year beginning on the first anniversary of the grant date, January 26, 2018. Stock Options granted under the Company's 2017 Omnibus Equity Compensation Plan. These Stock Options become exercisable 1/5 each year beginning on the first anniversary of the grant date, June 6, 2019. /s/ D. Kyle Cerminara 2021-07-06