organization · Reporting owner
Fundamental Global Investors, LLC
Disclosed activity across 4 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BK Technologies CorpBKTI · Entity 6049 | 10% owner | July 22, 2021 | July 27, 2021 |
| FG Communities Holdings Inc.FGF · Entity 7310 | Director · 10% owner | May 26, 2021 | May 28, 2021 |
| FG Group Holdings Inc.BTN · Entity 93668 | Director · 10% owner | May 26, 2020 | May 28, 2021 |
| ITERIS, INC.ITI · Entity 86402 | Director | September 15, 2017 | September 18, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BK Technologies Corp
Report date July 22, 2021 · Filed July 27, 2021
Jointly reported with Cerminara Kyle, Johnson Lewis M, MOGLIA JOSEPH H
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.60 per shareSEC Table I · non-derivative | IndirectBK Technologies Holdings, LLC | 1,544,438 |
Reported balance
After 2021-07-22 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-07-22 · Sale · Disposed 630,915 · Balance 1,544,438 F1: Includes (i) 763,597 shares of common stock, par value $0.60 per share (the "common stock"), of BK Technologies Corp (the "Company") transferred to BK Technologies Holdings, LLC ("BKTH") from Fundamental Activist Fund I, LP on July 22, 2021 and (ii) 1,411,756 shares of common stock transferred to BKTH from Fundamental Global Partners Master Fund, LP on July 22, 2021. Such transfers were exempt from Section 16 pursuant to Rule 16a-13. F2: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 2,743,406 shares of common stock, which represents approximately 16.3% of the Company's outstanding shares of common stock, as calculated based on public filings made by the Company with the Securities and Exchange Commission. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of common stock that are directly owned by BKTH, FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F3: 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 BKTH, FGGM, FGHP, and FGCA. 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 845,813 shares of common stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara directly holds 15,062 shares of common stock and 24,505 restricted stock units, which were received as director compensation. Mr. Johnson directly holds 39,567 shares of common stock. In addition, each of Messrs. Cerminara and Johnson holds stock options to purchase 10,000 and 5,000 shares of common stock, respectively. |
| Common Stock, par value $0.60 per shareSEC Table I · non-derivative | IndirectFundamental Global Holdings, LP | 1,083,875 |
Reported balance
Holding disclosure · report date 2021-07-22 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,083,875 F2: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 2,743,406 shares of common stock, which represents approximately 16.3% of the Company's outstanding shares of common stock, as calculated based on public filings made by the Company with the Securities and Exchange Commission. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of common stock that are directly owned by BKTH, FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F3: 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 BKTH, FGGM, FGHP, and FGCA. 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 845,813 shares of common stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara directly holds 15,062 shares of common stock and 24,505 restricted stock units, which were received as director compensation. Mr. Johnson directly holds 39,567 shares of common stock. In addition, each of Messrs. Cerminara and Johnson holds stock options to purchase 10,000 and 5,000 shares of common stock, respectively. |
| Common Stock, par value $0.60 per shareSEC Table I · non-derivative | IndirectFGI Global Asset Allocation Master Fund, LP | 106,383 |
Reported balance
Holding disclosure · report date 2021-07-22 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 106,383 F2: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 2,743,406 shares of common stock, which represents approximately 16.3% of the Company's outstanding shares of common stock, as calculated based on public filings made by the Company with the Securities and Exchange Commission. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of common stock that are directly owned by BKTH, FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F3: 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 BKTH, FGGM, FGHP, and FGCA. 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 845,813 shares of common stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara directly holds 15,062 shares of common stock and 24,505 restricted stock units, which were received as director compensation. Mr. Johnson directly holds 39,567 shares of common stock. In addition, each of Messrs. Cerminara and Johnson holds stock options to purchase 10,000 and 5,000 shares of common stock, respectively. |
| Common Stock, par value $0.60 per shareSEC Table I · non-derivative | IndirectFundamental Global Capital Appreciation Fund, LP | 8,710 |
Reported balance
Holding disclosure · report date 2021-07-22 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 8,710 F2: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 2,743,406 shares of common stock, which represents approximately 16.3% of the Company's outstanding shares of common stock, as calculated based on public filings made by the Company with the Securities and Exchange Commission. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of common stock that are directly owned by BKTH, FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F3: 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 BKTH, FGGM, FGHP, and FGCA. 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 845,813 shares of common stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara directly holds 15,062 shares of common stock and 24,505 restricted stock units, which were received as director compensation. Mr. Johnson directly holds 39,567 shares of common stock. In addition, each of Messrs. Cerminara and Johnson holds stock options to purchase 10,000 and 5,000 shares of common stock, respectively. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes (i) 763,597 shares of common stock, par value $0.60 per share (the "common stock"), of BK Technologies Corp (the "Company") transferred to BK Technologies Holdings, LLC ("BKTH") from Fundamental Activist Fund I, LP on July 22, 2021 and (ii) 1,411,756 shares of common stock transferred to BKTH from Fundamental Global Partners Master Fund, LP on July 22, 2021. Such transfers were exempt from Section 16 pursuant to Rule 16a-13.
F2: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 2,743,406 shares of common stock, which represents approximately 16.3% of the Company's outstanding shares of common stock, as calculated based on public filings made by the Company with the Securities and Exchange Commission. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of common stock that are directly owned by BKTH, FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Fundamental Global Capital Appreciation Fund, LP ("FGCA").
F3: 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 BKTH, FGGM, FGHP, and FGCA. 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 845,813 shares of common stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara directly holds 15,062 shares of common stock and 24,505 restricted stock units, which were received as director compensation. Mr. Johnson directly holds 39,567 shares of common stock. In addition, each of Messrs. Cerminara and Johnson holds stock options to purchase 10,000 and 5,000 shares of common stock, respectively.
FG Communities Holdings Inc.
Report date May 26, 2021 · Filed May 28, 2021
Jointly reported with Cerminara Kyle, Johnson Lewis M, MOGLIA JOSEPH H, FG Group Holdings Inc., BK Technologies Corp
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP | 8,296 |
Reported balance
After 2021-05-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-05-26 · Purchase · Acquired 5,296 · Balance 8,296 F6: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% 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 Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock. F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFGI GLOBAL ASSET ALLOCATION FUND, LTD. | 0 |
Reported balance
After 2021-05-26 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-05-26 · Sale · Disposed 5,296 · Balance 0 F6: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% 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 Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock. F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFUNDAMENTAL ACTIVIST FUND I, LP | 788,199 |
Reported balance
Holding disclosure · report date 2021-05-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 788,199 F1: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% 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 Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock. F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP | 628,875 |
Reported balance
Holding disclosure · report date 2021-05-26 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 628,875 F1: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% 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 Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock. F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFGI GLOBAL ASSET ALLOCATION MASTER FUND, LP | 4,532 |
Reported balance
Holding disclosure · report date 2021-05-26 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 4,532 F1: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% 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 Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock. F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFGI 1347 HOLDINGS, LP | 477,282 |
Reported balance
Holding disclosure · report date 2021-05-26 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 477,282 F1: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% 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 Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock. F2: BK Technologies Corporation ("BKTI") is the sole limited partner of FGIH. Mr. Cerminara is Member of the Board of Directors of BKTI. F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectBALLANTYNE STRONG, INC. | 1,038,409 |
Reported balance
Holding disclosure · report date 2021-05-26 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 1,038,409 F1: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% 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 Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock. F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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. |
| 8.00% Cumulative Preferred Stock, Series A, $25.00 par valueSEC Table I · non-derivative | IndirectFUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP | 34,620 |
Reported balance
Holding disclosure · report date 2021-05-26 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 34,620 F3: The Reporting Persons beneficially own in the aggregate 35,210 shares of Preferred Stock, which represent approximately 4.1% of the outstanding shares of Preferred Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM and FGCA. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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. |
| 8.00% Cumulative Preferred Stock, Series A, $25.00 par valueSEC Table I · non-derivative | IndirectFUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP | 590 |
Reported balance
Holding disclosure · report date 2021-05-26 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 590 F3: The Reporting Persons beneficially own in the aggregate 35,210 shares of Preferred Stock, which represent approximately 4.1% of the outstanding shares of Preferred Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM and FGCA. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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. |
| CALL OPTION (RIGHT TO BUY)SEC Table II · derivative / convertible security · Conversion / exercise price $6.00 · Expires 2022-04-16 | IndirectFUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP | 50,000 |
Reported balance
Holding disclosure · report date 2021-05-26 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 50,000 F5: Represents a call option to purchase shares of Common Stock, for a purchase price of $6.00 per share. The shares subject to the call option may be acquired at any time during the two-year period beginning on April 16, 2020, ending at 5:00 p.m. Eastern time on April 16, 2022. |
| CALL OPTION (RIGHT TO BUY)SEC Table II · derivative / convertible security · Conversion / exercise price $6.00 · Expires 2022-04-16 | IndirectFUNDAMENTAL ACTIVIST FUND I, LP | 50,000 |
Reported balance
Holding disclosure · report date 2021-05-26 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 50,000 F5: Represents a call option to purchase shares of Common Stock, for a purchase price of $6.00 per share. The shares subject to the call option may be acquired at any time during the two-year period beginning on April 16, 2020, ending at 5:00 p.m. Eastern time on April 16, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% 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 Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock.
F2: BK Technologies Corporation ("BKTI") is the sole limited partner of FGIH. Mr. Cerminara is Member of the Board of Directors of BKTI.
F3: The Reporting Persons beneficially own in the aggregate 35,210 shares of Preferred Stock, which represent approximately 4.1% of the outstanding shares of Preferred Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM and FGCA. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse.
F4: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. 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.
F5: Represents a call option to purchase shares of Common Stock, for a purchase price of $6.00 per share. The shares subject to the call option may be acquired at any time during the two-year period beginning on April 16, 2020, ending at 5:00 p.m. Eastern time on April 16, 2022.
F6: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons.
FG Group Holdings Inc.
Report date May 26, 2020 · Filed May 28, 2021
Jointly reported with Cerminara Kyle, Johnson Lewis M, MOGLIA JOSEPH H
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP | 59,211 |
Reported balance
After 2021-05-26 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-05-26 · Purchase · Acquired 34,911 · Balance 59,211 F3: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2: 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, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F4: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFGI GLOBAL ASSET ALLOCATION FUND, LTD. | 0 |
Reported balance
After 2021-05-26 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-05-26 · Sale · Disposed 34,911 · Balance 0 F3: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2: 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, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F4: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFUNDAMENTAL ACTIVIST FUND I, LP | 1,793,591 |
Reported balance
Holding disclosure · report date 2020-05-26 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,793,591 F1: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2: 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, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F4: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFUNDAMENTAL GLOBAL HOLDINGS, LP | 853,619 |
Reported balance
Holding disclosure · report date 2020-05-26 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 853,619 F1: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2: 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, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F4: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP | 2,188,243 |
Reported balance
Holding disclosure · report date 2020-05-26 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 2,188,243 F1: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2: 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, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F4: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. |
| COMMON STOCK, PAR VALUE $0.01 PER SHARESEC Table I · non-derivative | IndirectFGI GLOBAL ASSET ALLOCATION MASTER FUND, LP | 270,123 |
Reported balance
Holding disclosure · report date 2020-05-26 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 270,123 F1: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2: 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, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F4: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA").
F2: 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, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.
F3: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons.
F4: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock.
ITERIS, INC.
Report date September 15, 2017 · Filed September 18, 2017
Jointly reported with BK Technologies Corp, Cerminara Kyle, Johnson Lewis M, MOGLIA JOSEPH H
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.10 per shareSEC Table I · non-derivative | IndirectFundamental Global Partners Master Fund, LP | 136,728 |
Reported balance
After 2017-09-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-09-15 · Sale · Disposed 33,273 · Balance 136,728 F1: The Reporting Persons beneficially own in the aggregate 1,746,743 shares of Common Stock, which represent approximately 5.4% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC, 50% of which is owned by Fundamental Global Investors, LLC, holds 99,578 shares of Common Stock for the accounts of individual investors, which represent approximately 0.3% of the Company's outstanding shares of Common Stock, and Mr. D. Kyle Cerminara, who serves on the Board of Directors of the Company, holds 2,605 shares of Common Stock and 8,146 RSUs granted to him as director compensation. The RSUs vest on the date of the Company's 2017 annual meeting. 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") and RELM Wireless Corporation ("RWC"). F2: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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 and FGPM. Due to their positions with RWC, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be a beneficial owners of the shares of Common Stock disclosed as directly owned by RWC. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. |
| Common Stock, par value $0.10 per shareSEC Table I · non-derivative | IndirectFundamental Global Partners, LP | 143,368 |
Reported balance
After 2017-09-15 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-09-15 · Sale · Disposed 34,383 · Balance 143,368 F1: The Reporting Persons beneficially own in the aggregate 1,746,743 shares of Common Stock, which represent approximately 5.4% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC, 50% of which is owned by Fundamental Global Investors, LLC, holds 99,578 shares of Common Stock for the accounts of individual investors, which represent approximately 0.3% of the Company's outstanding shares of Common Stock, and Mr. D. Kyle Cerminara, who serves on the Board of Directors of the Company, holds 2,605 shares of Common Stock and 8,146 RSUs granted to him as director compensation. The RSUs vest on the date of the Company's 2017 annual meeting. 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") and RELM Wireless Corporation ("RWC"). F2: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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 and FGPM. Due to their positions with RWC, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be a beneficial owners of the shares of Common Stock disclosed as directly owned by RWC. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. |
| Common Stock, par value $0.10 per shareSEC Table I · non-derivative | IndirectRELM Wireless Corporation | 1,466,647 |
Reported balance
After 2017-09-15 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-09-15 · Sale · Disposed 43,256 · Balance 1,466,647 F1: The Reporting Persons beneficially own in the aggregate 1,746,743 shares of Common Stock, which represent approximately 5.4% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC, 50% of which is owned by Fundamental Global Investors, LLC, holds 99,578 shares of Common Stock for the accounts of individual investors, which represent approximately 0.3% of the Company's outstanding shares of Common Stock, and Mr. D. Kyle Cerminara, who serves on the Board of Directors of the Company, holds 2,605 shares of Common Stock and 8,146 RSUs granted to him as director compensation. The RSUs vest on the date of the Company's 2017 annual meeting. 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") and RELM Wireless Corporation ("RWC"). F2: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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 and FGPM. Due to their positions with RWC, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be a beneficial owners of the shares of Common Stock disclosed as directly owned by RWC. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. |
| Common Stock, par value $0.10 per shareSEC Table I · non-derivative | Direct | 10,751 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 10,751 F1: The Reporting Persons beneficially own in the aggregate 1,746,743 shares of Common Stock, which represent approximately 5.4% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC, 50% of which is owned by Fundamental Global Investors, LLC, holds 99,578 shares of Common Stock for the accounts of individual investors, which represent approximately 0.3% of the Company's outstanding shares of Common Stock, and Mr. D. Kyle Cerminara, who serves on the Board of Directors of the Company, holds 2,605 shares of Common Stock and 8,146 RSUs granted to him as director compensation. The RSUs vest on the date of the Company's 2017 annual meeting. 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") and RELM Wireless Corporation ("RWC"). |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons beneficially own in the aggregate 1,746,743 shares of Common Stock, which represent approximately 5.4% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC, 50% of which is owned by Fundamental Global Investors, LLC, holds 99,578 shares of Common Stock for the accounts of individual investors, which represent approximately 0.3% of the Company's outstanding shares of Common Stock, and Mr. D. Kyle Cerminara, who serves on the Board of Directors of the Company, holds 2,605 shares of Common Stock and 8,146 RSUs granted to him as director compensation. The RSUs vest on the date of the Company's 2017 annual meeting. 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") and RELM Wireless Corporation ("RWC").
F2: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. 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 and FGPM. Due to their positions with RWC, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be a beneficial owners of the shares of Common Stock disclosed as directly owned by RWC. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 03, 2020 Filed Feb 5, 2020 21:54 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 498 | $3.46 | $1,721.09 |
DisclosureSEC source: 0001104659-20-011535 · tm206926-1_4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,565,285 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.45 and $3.46 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,103,323 shares of Common Stock, which represents approximately 28.3% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 31, 2020 Filed Feb 3, 2020 17:21 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,291 | $3.43 | $4,422.84 |
DisclosureSEC source: 0001104659-20-009858 · tm206533-1_4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,579,871 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.40 and $3.45 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,098,927 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 31, 2020 Filed Feb 3, 2020 17:21 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,292 | $3.43 | $4,426.26 |
DisclosureSEC source: 0001104659-20-009858 · tm206533-1_4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,564,787 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.40 and $3.45 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,098,927 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 17:21 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,323 | $3.36 | $4,446.74 |
DisclosureSEC source: 0001104659-20-009858 · tm206533-1_4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,578,580 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.33 and $3.41 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,098,927 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 17:21 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,323 | $3.36 | $4,446.74 |
DisclosureSEC source: 0001104659-20-009858 · tm206533-1_4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,563,495 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.33 and $3.41 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,098,927 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 29, 2020 Filed Jan 29, 2020 20:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 876 | $3.34 | $2,924.09 |
DisclosureSEC source: 0001104659-20-008244 · tm206224-1_4.xml · nonDerivative · entry 6 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,577,257 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.33 and $3.35 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,093,698 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 29, 2020 Filed Jan 29, 2020 20:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 876 | $3.34 | $2,924.09 |
DisclosureSEC source: 0001104659-20-008244 · tm206224-1_4.xml · nonDerivative · entry 5 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,562,172 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.33 and $3.35 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,093,698 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 28, 2020 Filed Jan 29, 2020 20:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,494 | $3.29 | $4,913.77 |
DisclosureSEC source: 0001104659-20-008244 · tm206224-1_4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,576,381 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.14 and $3.30 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,093,698 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 28, 2020 Filed Jan 29, 2020 20:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,494 | $3.29 | $4,913.77 |
DisclosureSEC source: 0001104659-20-008244 · tm206224-1_4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,561,296 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.14 and $3.30 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,093,698 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 20:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 561 | $3.39 | $1,900.39 |
DisclosureSEC source: 0001104659-20-008244 · tm206224-1_4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,574,887 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.38 and $3.40 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,093,698 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 20:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 562 | $3.39 | $1,903.78 |
DisclosureSEC source: 0001104659-20-008244 · tm206224-1_4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,559,802 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.38 and $3.40 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,093,698 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 24, 2020 Filed Jan 27, 2020 12:54 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,746 | $3.42 | $9,380.06 |
DisclosureSEC source: 0001104659-20-007044 · tm205924d1_4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,574,326 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.39 and $3.43 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,087,835 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 24, 2020 Filed Jan 27, 2020 12:54 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,746 | $3.42 | $9,380.06 |
DisclosureSEC source: 0001104659-20-007044 · tm205924d1_4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,559,240 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.39 and $3.43 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,087,835 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 23, 2020 Filed Jan 27, 2020 12:54 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,818 | $3.42 | $6,211.02 |
DisclosureSEC source: 0001104659-20-007044 · tm205924d1_4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,571,580 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.40 and $3.43 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,087,835 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 23, 2020 Filed Jan 27, 2020 12:54 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,819 | $3.42 | $6,214.43 |
DisclosureSEC source: 0001104659-20-007044 · tm205924d1_4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,556,494 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.40 and $3.43 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,087,835 shares of Common Stock, which represents approximately 28.2% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 22, 2020 Filed Jan 22, 2020 18:52 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,498 | $3.40 | $8,498.45 |
DisclosureSEC source: 0001104659-20-005995 · tm205625d1_4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,569,762 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.37 and $3.41 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,078,706 shares of Common Stock, which represents approximately 28.1% 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 Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 22, 2020 Filed Jan 22, 2020 18:52 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,498 | $3.40 | $8,498.45 |
DisclosureSEC source: 0001104659-20-005995 · tm205625d1_4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,554,675 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.37 and $3.41 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,078,706 shares of Common Stock, which represents approximately 28.1% 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 Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 21, 2020 Filed Jan 22, 2020 18:52 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,746 | $3.42 | $9,393.52 |
DisclosureSEC source: 0001104659-20-005995 · tm205625d1_4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,567,264 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.39 and $3.44 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,078,706 shares of Common Stock, which represents approximately 28.1% 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 Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 21, 2020 Filed Jan 22, 2020 18:52 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,746 | $3.42 | $9,393.52 |
DisclosureSEC source: 0001104659-20-005995 · tm205625d1_4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,552,177 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.39 and $3.44 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,078,706 shares of Common Stock, which represents approximately 28.1% 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 Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 17, 2020 Filed Jan 21, 2020 16:30 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,994 | $3.45 | $10,333.79 |
DisclosureSEC source: 0001104659-20-005565 · tm205464d1_4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,564,518 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.40 and $3.50 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,068,218 shares of Common Stock, which represents approximately 28.0% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 17, 2020 Filed Jan 21, 2020 16:30 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,994 | $3.45 | $10,333.79 |
DisclosureSEC source: 0001104659-20-005565 · tm205464d1_4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,549,431 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.40 and $3.50 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,068,218 shares of Common Stock, which represents approximately 28.0% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 16:30 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,994 | $3.31 | $9,917.03 |
DisclosureSEC source: 0001104659-20-005565 · tm205464d1_4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,561,524 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.30 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,068,218 shares of Common Stock, which represents approximately 28.0% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 16, 2020 Filed Jan 21, 2020 16:30 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,994 | $3.31 | $9,917.03 |
DisclosureSEC source: 0001104659-20-005565 · tm205464d1_4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,546,437 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.30 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,068,218 shares of Common Stock, which represents approximately 28.0% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 15, 2020 Filed Jan 15, 2020 20:14 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,059 | $3.25 | $3,445.24 |
DisclosureSEC source: 0001104659-20-004426 · tm203580d1_4.xml · nonDerivative · entry 6 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,558,530 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.20 and $3.29 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,056,242 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 15, 2020 Filed Jan 15, 2020 20:14 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,060 | $3.25 | $3,448.50 |
DisclosureSEC source: 0001104659-20-004426 · tm203580d1_4.xml · nonDerivative · entry 5 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,543,443 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.20 and $3.29 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,056,242 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 14, 2020 Filed Jan 15, 2020 20:14 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 935 | $3.25 | $3,035.95 |
DisclosureSEC source: 0001104659-20-004426 · tm203580d1_4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,557,471 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.20 and $3.27 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,056,242 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 14, 2020 Filed Jan 15, 2020 20:14 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 936 | $3.25 | $3,039.19 |
DisclosureSEC source: 0001104659-20-004426 · tm203580d1_4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,542,383 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.20 and $3.27 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,056,242 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 13, 2020 Filed Jan 15, 2020 20:14 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,995 | $3.32 | $9,956.28 |
DisclosureSEC source: 0001104659-20-004426 · tm203580d1_4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,556,536 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.27 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,056,242 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 13, 2020 Filed Jan 15, 2020 20:14 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,994 | $3.32 | $9,952.95 |
DisclosureSEC source: 0001104659-20-004426 · tm203580d1_4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,541,447 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.27 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,056,242 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 10, 2020 Filed Jan 13, 2020 17:39 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,424 | $3.21 | $4,571.32 |
DisclosureSEC source: 0001104659-20-003522 · tm203248d1_4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,553,541 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.16 and $3.22 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,046,263 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 10, 2020 Filed Jan 13, 2020 17:39 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,424 | $3.21 | $4,571.32 |
DisclosureSEC source: 0001104659-20-003522 · tm203248d1_4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,538,453 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.16 and $3.22 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,046,263 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 17:39 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,840 | $3.34 | $9,484.46 |
DisclosureSEC source: 0001104659-20-003522 · tm203248d1_4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,552,117 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.33 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,046,263 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 09, 2020 Filed Jan 13, 2020 17:39 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,840 | $3.34 | $9,484.46 |
DisclosureSEC source: 0001104659-20-003522 · tm203248d1_4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,537,029 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.33 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,046,263 shares of Common Stock, which represents approximately 27.9% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 08, 2020 Filed Jan 8, 2020 19:40 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,840 | $3.33 | $9,459.76 |
DisclosureSEC source: 0001104659-20-002356 · tm201630-1_4.xml · nonDerivative · entry 6 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,549,277 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.30 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,037,735 shares of Common Stock, which represents approximately 27.8% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 08, 2020 Filed Jan 8, 2020 19:40 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,840 | $3.33 | $9,459.76 |
DisclosureSEC source: 0001104659-20-002356 · tm201630-1_4.xml · nonDerivative · entry 5 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,534,189 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.30 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,037,735 shares of Common Stock, which represents approximately 27.8% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 07, 2020 Filed Jan 8, 2020 19:40 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,840 | $3.33 | $9,459.76 |
DisclosureSEC source: 0001104659-20-002356 · tm201630-1_4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,546,437 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.30 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,037,735 shares of Common Stock, which represents approximately 27.8% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 07, 2020 Filed Jan 8, 2020 19:40 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,840 | $3.33 | $9,459.76 |
DisclosureSEC source: 0001104659-20-002356 · tm201630-1_4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,531,349 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.30 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,037,735 shares of Common Stock, which represents approximately 27.8% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 06, 2020 Filed Jan 8, 2020 19:40 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,840 | $3.32 | $9,424.54 |
DisclosureSEC source: 0001104659-20-002356 · tm201630-1_4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,543,597 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.24 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,037,735 shares of Common Stock, which represents approximately 27.8% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 06, 2020 Filed Jan 8, 2020 19:40 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,841 | $3.32 | $9,427.86 |
DisclosureSEC source: 0001104659-20-002356 · tm201630-1_4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,528,509 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.24 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,037,735 shares of Common Stock, which represents approximately 27.8% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 03, 2020 Filed Jan 6, 2020 13:06 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,790 | $3.32 | $9,269.22 |
DisclosureSEC source: 0001104659-20-001400 · tm201311d1_form4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,540,757 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.29 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,020,694 shares of Common Stock, which represents approximately 27.7% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 03, 2020 Filed Jan 6, 2020 13:06 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,790 | $3.32 | $9,269.22 |
DisclosureSEC source: 0001104659-20-001400 · tm201311d1_form4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,525,668 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.29 and $3.34 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,020,694 shares of Common Stock, which represents approximately 27.7% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 13:06 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,790 | $3.34 | $9,313.30 |
DisclosureSEC source: 0001104659-20-001400 · tm201311d1_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,537,967 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.29 and $3.35 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,020,694 shares of Common Stock, which represents approximately 27.7% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| January 02, 2020 Filed Jan 6, 2020 13:06 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,790 | $3.34 | $9,313.30 |
DisclosureSEC source: 0001104659-20-001400 · tm201311d1_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,522,878 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.29 and $3.35 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,020,694 shares of Common Stock, which represents approximately 27.7% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 817,076 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 14:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,791 | $3.19 | $8,909.15 |
DisclosureSEC source: 0001104659-20-000236 · tm201078d1_form4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,535,177 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.17 and $3.27 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,009,534 shares of Common Stock, which represents approximately 27.6% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 826,457 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.7% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 14:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,791 | $3.19 | $8,909.15 |
DisclosureSEC source: 0001104659-20-000236 · tm201078d1_form4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,520,088 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.17 and $3.27 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,009,534 shares of Common Stock, which represents approximately 27.6% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 826,457 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.7% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| December 30, 2019 Filed Jan 2, 2020 14:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,791 | $3.18 | $8,867.84 |
DisclosureSEC source: 0001104659-20-000236 · tm201078d1_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,532,386 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.14 and $3.20 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,009,534 shares of Common Stock, which represents approximately 27.6% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 826,457 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.7% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| December 30, 2019 Filed Jan 2, 2020 14:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,790 | $3.18 | $8,864.67 |
DisclosureSEC source: 0001104659-20-000236 · tm201078d1_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,517,297 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.14 and $3.20 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 4,009,534 shares of Common Stock, which represents approximately 27.6% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 826,457 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.7% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| December 27, 2019 Filed Dec 30, 2019 12:12 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,393 | $3.03 | $7,257.01 |
DisclosureSEC source: 0001104659-19-076669 · tm1928313-1_form4.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,529,595 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00 and $3.07 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 3,998,371 shares of Common Stock, which represents approximately 27.5% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 826,457 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.7% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| December 27, 2019 Filed Dec 30, 2019 12:12 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,393 | $3.03 | $7,257.01 |
DisclosureSEC source: 0001104659-19-076669 · tm1928313-1_form4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,514,507 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00 and $3.07 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 3,998,371 shares of Common Stock, which represents approximately 27.5% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 826,457 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.7% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
| December 26, 2019 Filed Dec 30, 2019 12:12 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 350 | $2.99 | $1,046.50 |
DisclosureSEC source: 0001104659-19-076669 · tm1928313-1_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 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: 1,527,202 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 3,998,371 shares of Common Stock, which represents approximately 27.5% 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"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 826,457 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 5.7% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · 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, FGHP, FGAA, FGGM 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.