0001493152-17-009500.txt : 20170816 0001493152-17-009500.hdr.sgml : 20170816 20170816163547 ACCESSION NUMBER: 0001493152-17-009500 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170814 FILED AS OF DATE: 20170816 DATE AS OF CHANGE: 20170816 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: 171036694 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: 4350 MCKINLEY ST CITY: OMAHA STATE: NE ZIP: 68112 BUSINESS PHONE: 4024534444 MAIL ADDRESS: STREET 1: 4350 MCKINLEY ST CITY: OMAHA STATE: NE ZIP: 68112 FORMER COMPANY: FORMER CONFORMED NAME: BALLANTYNE OF OMAHA INC DATE OF NAME CHANGE: 19950608 4 1 form4.xml X0306 4 2017-08-14 0 0000946454 BALLANTYNE STRONG, INC. BTN 0001619991 Cerminara Kyle 11422 MIRACLE HILLS DRIVE, SUITE 300 OMAHA NE 68154 1 1 1 0 CEO and Chairman Common Stock 2017-08-14 4 P 0 2209 6.2409 A 189168 D Common Stock 2017-08-15 4 P 0 1007 6.3878 A 190175 D Common Stock 2017-08-16 4 P 0 1104 6.4227 A 191279 D Common Stock 6000 I By 401(k) Plan Common Stock 11220 I By Spouse Common Stock 4220 I By Minor Children Common Stock 2424048 I Fundamental Global Stock Options (Right to Buy) 4.33 2025-11-22 Common Stock 60000 60000 D Stock Options (Right to Buy) 6.5 2027-02-28 Common Stock 60000 60000 D Held as joint tenant with spouse. Held by the Fundamental Global entities. In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, also holds 1,183,591 shares of Common Stock for the accounts of individual investors. 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. Stock Options granted under the Company's 2010 Long-Term Incentive Plan on November 22, 2015. The options become exercisable in five equal annual installments beginning on November 22, 2016, the first anniversary of the grant date. Stock Options granted under the Company's 2010 Long-Term Incentive Plan on February 28, 2017. The options become exercisable in five equal annual installments beginning on February 28, 2018, the first anniversary of the grant date. /s/ D. Kyle Cerminara 2017-08-16