BKTI

SEC source: 0001654954-19-002415 · section16.xml · derivative · entry 1

Willis Randy · CIK 0001734659 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-03-05

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 5, 2020 and thereafter on March 5, 2021, March 5, 2022, March 5, 2023 and March 5, 2024.

SEC source: 0001654954-19-002414 · section16.xml · derivative · entry 1

KELLY WILLIAM P · CIK 0001182945 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-03-05

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 5, 2020 and thereafter on March 5, 2021, March 5, 2022, March 5, 2023 and March 5, 2024.

SEC source: 0001654954-19-002416 · section16.xml · derivative · entry 1

Holthaus James R. · CIK 0001714273 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-03-05

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 5, 2020 and thereafter on March 5, 2021, March 5, 2022, March 5, 2023 and March 5, 2024.

SEC source: 0001654954-19-002412 · section16.xml · derivative · entry 1

Vitou Tim · CIK 0001695806 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-03-05

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 5, 2020 and thereafter on March 5, 2021, March 5, 2022, March 5, 2023 and March 5, 2024.

SEC source: 0001144204-18-049081 · tv502720_4.xml · nonDerivative · entry 2

Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner

BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

MOGLIA JOSEPH H · CIK 0001187586 · Group Member

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Fundamental Activist Fund I, LP

Disclosed balance after: 697,230

F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 3,025,374 shares of Common Stock, which represent approximately 22.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Fundamental Activist Fund I, LP ("FAFI"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 975,943 shares of Common Stock (excluding Mr. Moglia's shares held in CWA accounts) for accounts of individual investors, which represent approximately 7.2% of the Company's outstanding shares of Common Stock.

F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGGM, FGHP and FAFI. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. In addition, Mr. Moglia holds 817,131 shares of Common Stock directly and through trusts and the Moglia Family Foundation. Each of Messrs. Cerminara and Johnson directly holds 5,479 shares of Common Stock and 10,542 restricted stock units, in each case received as director compensation. In addition, Messrs. Cerminara and Johnson hold stock options to purchase 10,000 and 5,000 shares of Common Stock, respectively.

SEC source: 0001144204-18-049081 · tv502720_4.xml · nonDerivative · entry 1

Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner

BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

MOGLIA JOSEPH H · CIK 0001187586 · Group Member

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Ballantyne Strong, Inc.

Disclosed balance after: 0

SEC source: 0001654954-18-009967 · section16.xml · nonDerivative · entry 1

Payne E. Gray · CIK 0001694647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,021

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in 20% equal annual installments on the first, second, third, fourth and fifth anniversaries of the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 4, 2018, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-009966 · section16.xml · nonDerivative · entry 1

Struble John W. · CIK 0001701514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,021

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in 20% equal annual installments on the first, second, third, fourth and fifth anniversaries of the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 4, 2018, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-009959 · section16.xml · nonDerivative · entry 1

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,021

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in 20% equal annual installments on the first, second, third, fourth and fifth anniversaries of the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 4, 2018, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-009958 · section16.xml · nonDerivative · entry 1

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,021

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in 20% equal annual installments on the first, second, third, fourth and fifth anniversaries of the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 4, 2018, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-010004 · section16.xml · nonDerivative · entry 1

Turner Ryan R.K. · CIK 0001701633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,373

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in 20% equal annual installments on the first, second, third, fourth and fifth anniversaries of the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 4, 2018, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-010003 · section16.xml · nonDerivative · entry 1

Lanktree Charles T · CIK 0001641600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,235

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in 20% equal annual installments on the first, second, third, fourth and fifth anniversaries of the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 4, 2018, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-010045 · section16.xml · nonDerivative · entry 1

Dill Michael Ross · CIK 0001519237 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,021

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in 20% equal annual installments on the first, second, third, fourth and fifth anniversaries of the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 4, 2018, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-006298 · section16.xml · nonDerivative · entry 1

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,958

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 15, 2017, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-006359 · section16.xml · nonDerivative · entry 1

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,958

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 15, 2017, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-006336 · section16.xml · nonDerivative · entry 1

Payne E. Gray · CIK 0001694647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,958

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 15, 2017, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-006333 · section16.xml · nonDerivative · entry 1

Lanktree Charles T · CIK 0001641600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,172

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 15, 2017, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-006327 · section16.xml · nonDerivative · entry 1

Turner Ryan R.K. · CIK 0001701633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,310

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 15, 2017, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-006326 · section16.xml · nonDerivative · entry 1

Struble John W. · CIK 0001701514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,958

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 15, 2017, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-006317 · section16.xml · nonDerivative · entry 1

Dill Michael Ross · CIK 0001519237 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,958

F1 · shares: Represents a grant of restricted stock units (RSUs) under the 2017 Incentive Compensation Plan. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

F2 · balance_after: Includes 5,479 RSUs that vest in full 12 months after the grant date of June 15, 2017, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-18-002617 · section16.xml · derivative · entry 1

Vitou Tim · CIK 0001695806 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-03-14

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 14, 2019 and thereafter on March 14, 2020, March 14, 2021, March 14, 2022 and March 14, 2023.

SEC source: 0001654954-18-002616 · section16.xml · derivative · entry 1

Willis Randy · CIK 0001734659 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-03-14

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 14, 2019 and thereafter on March 14, 2020, March 14, 2021, March 14, 2022 and March 14, 2023.

SEC source: 0001654954-18-002615 · section16.xml · derivative · entry 1

Holthaus James R. · CIK 0001714273 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-03-14

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 14, 2019 and thereafter on March 14, 2020, March 14, 2021, March 14, 2022 and March 14, 2023

SEC source: 0001654954-18-002614 · section16.xml · derivative · entry 1

KELLY WILLIAM P · CIK 0001182945 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-03-14

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 14, 2019 and thereafter on March 14, 2020, March 14, 2021, March 14, 2022 and March 14, 2023.

SEC source: 0001144204-18-000635 · tv482482_form4.xml · nonDerivative · entry 3

Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner

BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

MOGLIA JOSEPH H · CIK 0001187586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Fundamental Global Partners Master Fund, LP

Disclosed balance after: 1,137,886

F4 · kind: Transfer in connection with FGPP becoming a feeder fund to FGPM. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons.

F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,479,927 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), Fundamental Activist Fund I, LP ("FAFI") and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,013,130 shares of Common Stock for accounts of individual investors, which represent approximately 7.3% of the Company's outstanding shares of Common Stock.

F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM, FGHP and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Mr. Moglia holds 356,876 shares of Common Stock directly and through the Moglia Family Foundation.

SEC source: 0001144204-18-000635 · tv482482_form4.xml · nonDerivative · entry 2

Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner

BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

MOGLIA JOSEPH H · CIK 0001187586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Fundamental Global Partners, LP

Disclosed balance after: 0

F4 · kind: Transfer in connection with FGPP becoming a feeder fund to FGPM. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons.

F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,479,927 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), Fundamental Activist Fund I, LP ("FAFI") and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,013,130 shares of Common Stock for accounts of individual investors, which represent approximately 7.3% of the Company's outstanding shares of Common Stock.

F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM, FGHP and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Mr. Moglia holds 356,876 shares of Common Stock directly and through the Moglia Family Foundation.

SEC source: 0001144204-18-000635 · tv482482_form4.xml · nonDerivative · entry 1

Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner

BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

MOGLIA JOSEPH H · CIK 0001187586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Fundamental Activist Fund I, LP

Disclosed balance after: 4,696

F3 · kind: Investor contributions in-kind.

F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,479,927 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), Fundamental Activist Fund I, LP ("FAFI") and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,013,130 shares of Common Stock for accounts of individual investors, which represent approximately 7.3% of the Company's outstanding shares of Common Stock.

F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM, FGHP and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Mr. Moglia holds 356,876 shares of Common Stock directly and through the Moglia Family Foundation.

SEC source: 0001654954-18-001323 · section16.xml · nonDerivative · entry 1

Payne E. Gray · CIK 0001694647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,479

F1 · balance_after: Includes 5,000 RSUs that vest in full 12 months after the grant date of June 15, 2017, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-17-008183 · section16.xml · derivative · entry 1

KELLY WILLIAM P · CIK 0001182945 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-08-30

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on August 30, 2018 and thereafter on August 30, 2019, August 30, 2020, August 30, 2021, and August 30, 2022.

SEC source: 0001654954-17-008181 · section16.xml · derivative · entry 1

Holthaus James R. · CIK 0001714273 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-08-30

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on August 30, 2018 and thereafter on August 30, 2019, August 30, 2020, August 30, 2021, and August 30, 2022.

SEC source: 0001654954-17-008180 · section16.xml · derivative · entry 1

Vitou Tim · CIK 0001695806 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-08-30

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on August 30, 2018 and thereafter on August 30, 2019, August 30, 2020, August 30, 2021, and August 30, 2022.

SEC source: 0001654954-17-005655 · section16.xml · nonDerivative · entry 1

Struble John W. · CIK 0001701514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,479

F1 · shares: Represents a grant of restricted stock units under the RELM Wireless Corporation 2017 Incentive Compensation Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date

SEC source: 0001654954-17-005653 · section16.xml · nonDerivative · entry 1

Payne E. Gray · CIK 0001694647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,479

F1 · shares: Represents a grant of restricted stock units under the RELM Wireless Corporation 2017 Incentive Compensation Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-17-005666 · section16.xml · nonDerivative · entry 1

Lanktree Charles T · CIK 0001641600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,693

F1 · shares: Represents a grant of restricted stock units under the RELM Wireless Corporation 2017 Incentive Compensation Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-17-005665 · section16.xml · nonDerivative · entry 1

Turner Ryan R.K. · CIK 0001701633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,831

F1 · shares: Represents a grant of restricted stock units under the RELM Wireless Corporation 2017 Incentive Compensation Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-17-005664 · section16.xml · nonDerivative · entry 1

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,479

F1 · shares: Represents a grant of restricted stock units under the RELM Wireless Corporation 2017 Incentive Compensation Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-17-005658 · section16.xml · nonDerivative · entry 1

Dill Michael Ross · CIK 0001519237 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,479

F1 · shares: Represents a grant of restricted stock units under the RELM Wireless Corporation 2017 Incentive Compensation Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-17-005662 · section16.xml · nonDerivative · entry 1

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,479

F1 · shares: Represents a grant of restricted stock units under the RELM Wireless Corporation 2017 Incentive Compensation Plan. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest in full 12 months after the grant date, subject to the Reporting Person's continued service as a director of the Issuer through such date.

SEC source: 0001654954-17-004718 · section16.xml · nonDerivative · entry 1

Turner Ryan R.K. · CIK 0001701633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352

SEC source: 0001144204-17-024422 · v466073_form4.xml · nonDerivative · entry 4

Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner

BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

MOGLIA JOSEPH H · CIK 0001187586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Fundamental Global Holdings, LP

Disclosed balance after: 1,083,875

F4 · kind: Withdrawal and redemption from FGPM and contribution to FGHP.

F4 · price: Withdrawal and redemption from FGPM and contribution to FGHP.

F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,475,231 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 842,283 shares of Common Stock for accounts of individual investors, which represent approximately 6.1% of the Company's outstanding shares of Common Stock.

F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM and FGHP. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.

SEC source: 0001144204-17-024422 · v466073_form4.xml · nonDerivative · entry 3

Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner

BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

MOGLIA JOSEPH H · CIK 0001187586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Fundamental Global Partners Master Fund, LP

Disclosed balance after: 552,137

F4 · kind: Withdrawal and redemption from FGPM and contribution to FGHP.

F4 · price: Withdrawal and redemption from FGPM and contribution to FGHP.

F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,475,231 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 842,283 shares of Common Stock for accounts of individual investors, which represent approximately 6.1% of the Company's outstanding shares of Common Stock.

F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM and FGHP. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.

SEC source: 0001144204-17-024422 · v466073_form4.xml · nonDerivative · entry 2

Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner

BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

MOGLIA JOSEPH H · CIK 0001187586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Fundamental Global Partners Master Fund, LP

Disclosed balance after: 643,710

F3 · kind: Represents a cross-trade between FGPP and FGPM, in which FGPP disposed of and FGPM acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons.

F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,475,231 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 842,283 shares of Common Stock for accounts of individual investors, which represent approximately 6.1% of the Company's outstanding shares of Common Stock.

F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM and FGHP. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.

SEC source: 0001144204-17-024422 · v466073_form4.xml · nonDerivative · entry 1

Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner

BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

Johnson Lewis M · CIK 0001619951 · Director · 10% owner

MOGLIA JOSEPH H · CIK 0001187586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Fundamental Global Partners, LP

Disclosed balance after: 585,749

F3 · kind: Represents a cross-trade between FGPP and FGPM, in which FGPP disposed of and FGPM acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons.

F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,475,231 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 842,283 shares of Common Stock for accounts of individual investors, which represent approximately 6.1% of the Company's outstanding shares of Common Stock.

F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM and FGHP. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.

SEC source: 0001354488-17-000432 · issuerdirect_section16.xml · derivative · entry 1

Gilley James E. · CIK 0001439592 · CTO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-03-17

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 17, 2018 and thereafter on March 17, 2019, March 17, 2020, March 17, 2021, and March 17, 2022.

SEC source: 0001354488-17-000428 · issuerdirect_section16.xml · derivative · entry 1

Vitou Tim · CIK 0001695806 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-03-17

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 17, 2018 and thereafter on March 17, 2019, March 17, 2020, March 17, 2021, and March 17, 2022.

SEC source: 0001354488-17-000430 · issuerdirect_section16.xml · derivative · entry 1

KELLY WILLIAM P · CIK 0001182945 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-03-17

F1 · derivative.exercise_date: The option is exercisable in five equal annual installments beginning on March 17, 2018 and thereafter on March 17, 2019, March 17, 2020, March 17, 2021, and March 17, 2022.

SEC source: 0001354488-17-000419 · issuerdirect_section16.xml · derivative · entry 3

Vitou Tim · CIK 0001695806 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2018-05-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option became exercisable 100% on May 18, 2011.

SEC source: 0001354488-17-000419 · issuerdirect_section16.xml · nonDerivative · entry 2

Vitou Tim · CIK 0001695806 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

F1 · shares: Shares withheld by the Company in payment of the reporting person's exercise price under the stock option.

SEC source: 0001354488-17-000419 · issuerdirect_section16.xml · nonDerivative · entry 1

Vitou Tim · CIK 0001695806 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001354488-17-000417 · issuerdirect_section16.xml · derivative · entry 9

O'Neil Timothy W · CIK 0001373760 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2019-05-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The option became exercisable 100% on April 22, 2015.