0000099106-11-000015.txt : 20111121 0000099106-11-000015.hdr.sgml : 20111121 20111121171740 ACCESSION NUMBER: 0000099106-11-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111114 FILED AS OF DATE: 20111121 DATE AS OF CHANGE: 20111121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHIELE GEORGE W CENTRAL INDEX KEY: 0001089801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-02257 FILM NUMBER: 111219785 MAIL ADDRESS: STREET 1: 19 HILL ROAD CITY: GREENWICH STATE: CT ZIP: 06830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TRANS LUX CORP CENTRAL INDEX KEY: 0000099106 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS MANUFACTURING INDUSTRIES [3990] IRS NUMBER: 131394750 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 26 PEARL STREET CITY: NORWALK STATE: CT ZIP: 06850-1647 BUSINESS PHONE: 2038534321 MAIL ADDRESS: STREET 1: 26 PEARL STREET CITY: NORWALK STATE: CT ZIP: 06850-1647 4 1 primary_doc.xml PRIMARY DOCUMENT X0304 4 2011-11-14 0 0000099106 TRANS LUX CORP tnlx 0001089801 SCHIELE GEORGE W 19 HILL ROAD GREENWICH CT 06830 1 0 0 0 Series A Convertible Preferred Stock 2011-11-14 4 P 0 2500 50000 A 2500 D A Warrants 1 2011-11-14 4 P 0 25000 A 2011-11-14 2011-11-13 Common Stock 25000 25500 D B Warrants 1 2011-11-14 4 P 0 25000 A 2014-11-13 Common Stock 25000 50500 D Purchase Price of $50,000 for 2,500 shares of Series A Convertible Preferred Stock and 25,000 one-year "A" Warrants. Each "A" Warrant entitles the holder to purchase one share of Common Stock and a three-year "B" Warrant at an exercise price of $1.00 per share, subject to adjustment to $0.20 per share at such time as the Certificate of Incorporation of the Company is amended to reduce the par value of the Common Stock to an amount equal to or less than $0.10). Each "B" Warrant entiles the holder to purchase one share of Common Stock at and exercise price of $1.00 per share, subject to adjustment to $0.50 per share at such time as the Certificate of Incorporation of the Company is amended to reduce the par value of the Common Stock to an amount equal to or less thatn $0.10. The "B" Warrant is excercisable upon the holder's exercise of the "A" Warrant, pursuant to which the "B" Warrant is issued, and exerciseable for three years from date of transaction. George W. Schiele 2011-11-21