0000099106-13-000002.txt : 20130816 0000099106-13-000002.hdr.sgml : 20130816 20130816160210 ACCESSION NUMBER: 0000099106-13-000002 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120525 FILED AS OF DATE: 20130816 DATE AS OF CHANGE: 20130816 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELSER MARCO M CENTRAL INDEX KEY: 0001321913 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-02257 FILM NUMBER: 131045333 MAIL ADDRESS: STREET 1: VIA SISTINA 121 CITY: ROME STATE: L6 ZIP: 00187 3/A 1 primary_doc.xml PRIMARY DOCUMENT X0206 3/A 2012-05-25 2012-08-07 0 0000099106 TRANS LUX CORP TNLX 0001321913 ELSER MARCO M VIA SISTINA 121 ROME L6 00187 ITALY 1 0 0 0 Common Stock 42500 I Manager of the account. Common Stock 62500 I Manager of the account. Common Stock 60000 I Manager of the account and owns 50% ofthe equity. Series A Convertible Preferred Stock 5000 I Manager of the account. Series A Convertible Preferred Stock 4000 I Manager of the account. A Warrants 0.2 2011-11-14 2013-09-13 Common Stock 90000 I Manager of the account. B Warrants 0.5 2014-11-14 Common Stock 90000 I Manager of the account. Owned by Carlisle Investments, of which I exercise voting and dispositive rights as the account manager, but disclaim any beneficial ownership. Owned by Elser & Co., of which I exercise voting and dispositive rights as the account manager, but disclaim any beneficial ownership. Owned by AdviCorp plc, of which I exercise voting and dispositive rights as the account manager, and own 50% of the equity of AdviCorp plc. Each A Warrant entitles the holder to purchase one share of Common Stock and one B Warrant, at an exercise price of $0.20 per share. The B Warrants are exercisable upon the holder's exercise of the A Warrants pursuant to which the B Warrants are issued, and are exercisable for three years from November 14, 2011, the date of the original offering. /s/ Marco Elser 2013-08-16