0001493152-19-010259.txt : 20190703 0001493152-19-010259.hdr.sgml : 20190703 20190703155926 ACCESSION NUMBER: 0001493152-19-010259 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190701 FILED AS OF DATE: 20190703 DATE AS OF CHANGE: 20190703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Johnson Lewis M CENTRAL INDEX KEY: 0001619951 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13906 FILM NUMBER: 19941864 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: 11422 MIRACLE HILLS DRIVE STREET 2: SUITE 300 CITY: OMAHA STATE: NE ZIP: 68154 BUSINESS PHONE: 4024534444 MAIL ADDRESS: STREET 1: 11422 MIRACLE HILLS DRIVE STREET 2: SUITE 300 CITY: OMAHA STATE: NE ZIP: 68154 FORMER COMPANY: FORMER CONFORMED NAME: BALLANTYNE OF OMAHA INC DATE OF NAME CHANGE: 19950608 4 1 ownership.xml X0306 4 2019-07-01 0 0000946454 BALLANTYNE STRONG, INC. BTN 0001619951 Johnson Lewis M 11422 MIRACLE HILLS DRIVE, SUITE 300 OMAHA NE 68154 1 0 0 0 Common Stock 2019-07-01 4 A 0 14563 0.00 A 46986 D Common Stock 2019-07-01 4 A 0 10000 0.00 A 56986 D Common Stock 3573177 I Fundamental Global Restricted stock units granted as non-employee director compensation pursuant to the 2017 Omnibus Equity Compensation Plan. The RSUs will vest 1/3 each year beginning on the first anniversary of the grant date, July 1, 2019, subject to continuous service through such vesting dates. Restricted stock units granted as non-employee director compensation for services as Co-Chairman of the Board pursuant to the 2017 Omnibus Equity Compensation Plan. The RSUs will vest 1/3 each year beginning on the first anniversary of the grant date, July 1, 2019, subject to continuous service through such vesting dates. Includes 13,333 restricted stock units granted as non-employee director compensation pursuant to the 2017 Omnibus Equity Compensation Plan. The RSUs will vest on December 4, 2019, subject to continuous service through such vesting date. Held by the Fundamental Global entities. Due to his positions with Fundamental Global Investors, LLC and other Fundamental Global entities, Mr. Johnson may be deemed to be a beneficial owner of Common Stock held by Fundamental Global. Mr. Johnson disclaims any beneficial ownership of the shares referenced to herein except to the extent of his pecuniary interest therein. In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global, holds 864,857 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors. /s/ Lewis M. Johnson 2019-07-03