0000899243-22-037775.txt : 20221206
0000899243-22-037775.hdr.sgml : 20221206
20221206161431
ACCESSION NUMBER: 0000899243-22-037775
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221202
FILED AS OF DATE: 20221206
DATE AS OF CHANGE: 20221206
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BALLANTYNE STRONG, INC.
CENTRAL INDEX KEY: 0000946454
STANDARD INDUSTRIAL CLASSIFICATION: PHOTOGRAPHIC EQUIPMENT & SUPPLIES [3861]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36366
FILM NUMBER: 221447941
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 NAME:
FORMER CONFORMED NAME: BALLANTYNE OF OMAHA INC
DATE OF NAME CHANGE: 19950608
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MOGLIA JOSEPH H
CENTRAL INDEX KEY: 0001187586
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36366
FILM NUMBER: 221447942
MAIL ADDRESS:
STREET 1: AMERITRADE HOLDING CORP
STREET 2: 4211 S 102ND ST
CITY: OMAHA
STATE: NE
ZIP: 68127
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FG Financial Holdings, LLC
CENTRAL INDEX KEY: 0001946735
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36366
FILM NUMBER: 221447940
BUSINESS ADDRESS:
STREET 1: 108 GATEWAY BLVD.
STREET 2: SUITE 204
CITY: MOORESVILLE
STATE: NC
ZIP: 28117
BUSINESS PHONE: (704) 323-6851
MAIL ADDRESS:
STREET 1: 108 GATEWAY BLVD.
STREET 2: SUITE 204
CITY: MOORESVILLE
STATE: NC
ZIP: 28117
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: 001-36366
FILM NUMBER: 221447943
MAIL ADDRESS:
STREET 1: C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
STREET 2: 108 GATEWAY BLVD., SUITE 204
CITY: MOORESVILLE
STATE: NC
ZIP: 28117
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fundamental Global GP, LLC
CENTRAL INDEX KEY: 0001878780
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36366
FILM NUMBER: 221447944
BUSINESS ADDRESS:
STREET 1: 108 GATEWAY BLVD.
STREET 2: SUITE 204
CITY: MOORESVILLE
STATE: NC
ZIP: 28117
BUSINESS PHONE: (704) 323-6851
MAIL ADDRESS:
STREET 1: 108 GATEWAY BLVD.
STREET 2: SUITE 204
CITY: MOORESVILLE
STATE: NC
ZIP: 28117
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FG Financial Group, Inc.
CENTRAL INDEX KEY: 0001591890
STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331]
IRS NUMBER: 461119100
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 360 CENTRAL AVE
STREET 2: SUITE 800
CITY: ST. PETERSBURG
STATE: FL
ZIP: 33701
BUSINESS PHONE: 847-791-6817
MAIL ADDRESS:
STREET 1: 360 CENTRAL AVE
STREET 2: SUITE 800
CITY: ST. PETERSBURG
STATE: FL
ZIP: 33701
FORMER COMPANY:
FORMER CONFORMED NAME: 1347 Property Insurance Holdings, Inc.
DATE OF NAME CHANGE: 20131113
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2022-12-02
0
0001591890
FG Financial Group, Inc.
FGF
0001878780
Fundamental Global GP, LLC
108 GATEWAY BLVD., SUITE 204
MOORESVILLE
NC
28117
0
0
1
0
0001619991
Cerminara Kyle
C/O FUNDAMENTAL GLOBAL GP, LLC
108 GATEWAY BOULEVARD, SUITE 204
MOORESVILLE
NC
28117
1
0
1
0
0001187586
MOGLIA JOSEPH H
C/O FUNDAMENTAL GLOBAL GP, LLC
108 GATEWAY BOULEVARD, SUITE 204
MOORESVILLE
NC
28117
0
0
1
0
0000946454
BALLANTYNE STRONG, INC.
5960 FAIRVIEW ROAD, SUITE 275
CHARLOTTE
NC
28210
0
0
1
0
0001946735
FG Financial Holdings, LLC
108 GATEWAY BLVD., SUITE 204
MOORESVILLE
NC
28117
0
0
1
0
8.00% Cumulative Preferred Stock, Series A, $25.00 par value
2022-12-02
4
P
0
650
19.06
A
56131
I
FG Financial Holdings, LLC
COMMON STOCK, PAR VALUE $0.01 PER SHARE
5619111
I
FG Financial Holdings, LLC
The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $19.00 to $19.46, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares of Preferred Stock purchased at each separate price within the range set forth above.
FG Financial Holdings, LLC ("FGFH"), which is managed by Fundamental Global GP, LLC ("FGGP"), beneficially owns in the aggregate 56,131 shares of Preferred Stock and 5,619,111 shares of Common Stock, which represent approximately 59.8% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH.
Due to their positions with FGGP and affiliated entities, Messrs. D. Kyle Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the securities disclosed as directly owned by FGFH. Mr. Cerminara also holds additional shares of Common Stock and Preferred Stock. Each Reporting Person disclaims beneficial ownership of the securities referred to herein except to the extent of his or its pecuniary interest therein.
Ballantyne Strong, Inc. ("BTN") owns membership interests in FGFH and may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH; however, BTN disclaims beneficial ownership of the securities referred to herein except to the extent of its pecuniary interest therein.
FUNDAMENTAL GLOBAL GP, LLC /S/ D. KYLE CERMINARA, CHIEF EXECUTIVE OFFICER
2022-12-06
BALLANTYNE STRONG, INC., /S/ MARK D. ROBERSON, CHIEF EXECUTIVE OFFICER
2022-12-06
FG FINANCIAL HOLDINGS, LLC, /S/ D. KYLE CERMINARA, MANAGER
2022-12-06
FG FINANCIAL HOLDINGS, LLC, /S/ RYAN R. K. TURNER, MANAGER
2022-12-06
/S/ D. KYLE CERMINARA
2022-12-06
/S/ JOSEPH H. MOGLIA
2022-12-06