Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BK Technologies CorpBKTI · Entity 6049 | 10% owner | January 29, 2024 | February 01, 2024 |
| FG Communities Holdings Inc.FGNX · Entity 7310 | Director · CEO and Chairman | July 10, 2026 | July 13, 2026 |
| Hagerty, Inc.ADF · Entity 3968 | Director | April 08, 2021 | April 13, 2021 |
| ITERIS, INC.ITI · Entity 86402 | Director | September 15, 2017 | September 18, 2017 |
| OppFi Inc.FGNA · Entity 1051 | Director · President · 10% owner | March 31, 2021 | April 05, 2021 |
| iCoreConnect Inc.FGMC · Entity 79874 | 10% owner | March 01, 2022 | March 04, 2022 |
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 January 29, 2024 · Filed February 01, 2024
Jointly reported with Fundamental Global GP, LLC, BK Technologies Holdings, LLC
| 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 | 248,975 |
Last balance in matching sequence
After 2024-01-30 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2024-01-29 · Sale · Disposed 13,906 · Balance 256,028 F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.36 to $12.73 inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth above. F1: The partnerships managed by FGGP beneficially own in the aggregate 465,750 shares of Common Stock, which represent approximately 13.5% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BK Technologies Holdings, LLC ("BKTH") and Fundamental Global Holdings, LP ("FGHP"). F2: Due to his position with FGGP and affiliated entities, Mr. D. Kyle Cerminara may be deemed to be beneficial owner of the shares of Common Stock disclosed as directly owned by BKTH and FGHP. 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. Cerminara also holds additional shares of Common Stock. Row 2 · 2024-01-30 · Sale · Disposed 7,053 · Balance 248,975 F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.10 to $12.41 inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth above. F1: The partnerships managed by FGGP beneficially own in the aggregate 465,750 shares of Common Stock, which represent approximately 13.5% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BK Technologies Holdings, LLC ("BKTH") and Fundamental Global Holdings, LP ("FGHP"). F2: Due to his position with FGGP and affiliated entities, Mr. D. Kyle Cerminara may be deemed to be beneficial owner of the shares of Common Stock disclosed as directly owned by BKTH and FGHP. 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. Cerminara also holds additional shares of Common Stock. |
| Common Stock, par value $0.60 per shareSEC Table I · non-derivative | IndirectFundamental Global Holdings, LP | 216,775 |
Reported balance
Holding disclosure · report date 2024-01-29 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 216,775 F1: The partnerships managed by FGGP beneficially own in the aggregate 465,750 shares of Common Stock, which represent approximately 13.5% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BK Technologies Holdings, LLC ("BKTH") and Fundamental Global Holdings, LP ("FGHP"). F2: Due to his position with FGGP and affiliated entities, Mr. D. Kyle Cerminara may be deemed to be beneficial owner of the shares of Common Stock disclosed as directly owned by BKTH and FGHP. 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. Cerminara also holds additional shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The partnerships managed by FGGP beneficially own in the aggregate 465,750 shares of Common Stock, which represent approximately 13.5% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BK Technologies Holdings, LLC ("BKTH") and Fundamental Global Holdings, LP ("FGHP").
F2: Due to his position with FGGP and affiliated entities, Mr. D. Kyle Cerminara may be deemed to be beneficial owner of the shares of Common Stock disclosed as directly owned by BKTH and FGHP. 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. Cerminara also holds additional shares of Common Stock.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.36 to $12.73 inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth above.
F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.10 to $12.41 inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth above.
FG Communities Holdings Inc.
Report date July 10, 2026 · Filed July 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 51,026 |
Reported balance
After 2026-07-10 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-07-10 · Grant · Acquired 4,103 · Balance 51,026 F1: Represents restricted stock units ("RSUs") granted under the 2021 Equity Incentive Plan as director fee payment in lieu of cash. All RSUs vested on grant date. Each RSU represents a contingent right to receive one share of common stock of the Company. F2: Includes 10,373 unvested RSUs granted on April 8, 2026 under the 2021 Equity Incentive Plan as director compensation. RSUs vest in five annual equal instalments, subject to continued service with the Company, beginning on the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of common stock of the Company. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 60 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 60 |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 90 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 90 |
| Common StockSEC Table I · non-derivative | IndirectBy Minor Children | 33 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 33 |
| Common StockSEC Table I · non-derivative | IndirectCerminara Capital LLC | 40,000 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 40,000 |
| Common StockSEC Table I · non-derivative | IndirectFG Financial Holdings, LLC | 105,993 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 105,993 F3: FG Financial Holdings LLC ("FGFH") and Fundamental Global Holdings LLC ("FGH") beneficially own in the aggregate 105,993 and 20,000 shares of FG Nexus Common Stock, respectively. Fundamental Global GP LLC ("FGGP"), which is an affiliate of FGFH and FGH, may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH and FGH. Due to Mr. Cerminara's position with FGGP and affiliated entities, Mr. Cerminara may be deemed to be beneficial owner of the securities disclosed as directly owned by FGFH and FGH. Mr. Cerminara disclaims beneficial ownership of the shares of FG Common Stock beneficially owned by FGFH, FGH, and FGGP except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectFundamental Global Holdings LLC | 20,000 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 20,000 F3: FG Financial Holdings LLC ("FGFH") and Fundamental Global Holdings LLC ("FGH") beneficially own in the aggregate 105,993 and 20,000 shares of FG Nexus Common Stock, respectively. Fundamental Global GP LLC ("FGGP"), which is an affiliate of FGFH and FGH, may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH and FGH. Due to Mr. Cerminara's position with FGGP and affiliated entities, Mr. Cerminara may be deemed to be beneficial owner of the securities disclosed as directly owned by FGFH and FGH. Mr. Cerminara disclaims beneficial ownership of the shares of FG Common Stock beneficially owned by FGFH, FGH, and FGGP except to the extent of his pecuniary interest therein. |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $25.00 · Expires 2035-09-05 | IndirectBy Cerminara Capital LLC | 45,000 |
Reported balance
Holding disclosure · report date 2026-07-10 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 45,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units ("RSUs") granted under the 2021 Equity Incentive Plan as director fee payment in lieu of cash. All RSUs vested on grant date. Each RSU represents a contingent right to receive one share of common stock of the Company.
F2: Includes 10,373 unvested RSUs granted on April 8, 2026 under the 2021 Equity Incentive Plan as director compensation. RSUs vest in five annual equal instalments, subject to continued service with the Company, beginning on the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of common stock of the Company.
F3: FG Financial Holdings LLC ("FGFH") and Fundamental Global Holdings LLC ("FGH") beneficially own in the aggregate 105,993 and 20,000 shares of FG Nexus Common Stock, respectively. Fundamental Global GP LLC ("FGGP"), which is an affiliate of FGFH and FGH, may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH and FGH. Due to Mr. Cerminara's position with FGGP and affiliated entities, Mr. Cerminara may be deemed to be beneficial owner of the securities disclosed as directly owned by FGFH and FGH. Mr. Cerminara disclaims beneficial ownership of the shares of FG Common Stock beneficially owned by FGFH, FGH, and FGGP except to the extent of his pecuniary interest therein.
Hagerty, Inc.
Report date April 08, 2021 · Filed April 13, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B common stockSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2021-04-08 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: At the time of our initial business combination, the shares of Class B common stock will convert into shares of Class A common stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights. The Class B common stock has no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: At the time of our initial business combination, the shares of Class B common stock will convert into shares of Class A common stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights. The Class B common stock has no expiration date.
ITERIS, INC.
Report date September 15, 2017 · Filed September 18, 2017
Jointly reported with Fundamental Global Investors, LLC, BK Technologies Corp, 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.
OppFi Inc.
Report date March 31, 2021 · Filed April 05, 2021 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectBy 401(k) plan | 5,892 |
Reported balance
After 2021-03-31 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2021-03-31 · Purchase · Acquired 5,892 · Balance 5,892 F1: The reporting person effected multiple same-way open market purchase transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one-dollar price range. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.16 to 10.18, inclusive. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares purchased at each separate price. |
| Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | IndirectHeld by FG New America Investors LLC. | 462,500 |
Reported balance
Holding disclosure · report date 2021-03-31 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 462,500 F2: Represents 462,500 shares of Class A common stock included in the Private Placement Units, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-248429), which are held by FG New America Investors LLC (the "Sponsor"). Mr. Cerminara is a manager of the Sponsor and shares voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Cerminara disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person effected multiple same-way open market purchase transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one-dollar price range. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.16 to 10.18, inclusive. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares purchased at each separate price.
F2: Represents 462,500 shares of Class A common stock included in the Private Placement Units, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-248429), which are held by FG New America Investors LLC (the "Sponsor"). Mr. Cerminara is a manager of the Sponsor and shares voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Cerminara disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
iCoreConnect Inc.
Report date March 01, 2022 · Filed March 04, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectHeld by FG Merger Investors LLC | 55,000 |
Reported balance
After 2022-03-01 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-03-01 · Purchase · Acquired 55,000 · Balance 55,000 F1: Consists of 55,000 of the Issuer's Private Placement Units, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-262298), purchased by FG Merger Investors LLC for $10.00 per Private Placement Unit. F2: Held by FG Merger Investors LLC (the "Sponsor"). Mr. Cerminara is one of the managers of the Sponsor who have voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Cerminara disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Consists of 55,000 of the Issuer's Private Placement Units, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-262298), purchased by FG Merger Investors LLC for $10.00 per Private Placement Unit.
F2: Held by FG Merger Investors LLC (the "Sponsor"). Mr. Cerminara is one of the managers of the Sponsor who have voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Cerminara disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
FG Group Holdings Inc.
Report date February 29, 2024 · Filed March 01, 2024
Jointly reported with Fundamental Global GP, LLC, MOGLIA JOSEPH H, Ballantyne Strong Holdings, LLC
Section 16 reporting ended · disclosed 2024-03-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBALLANTYNE STRONG HOLDINGS, LLC | 0 |
Reported balance
After 2024-02-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-02-29 · Disposition to issuer · Disposed 4,284,334 · Balance 0 F1: On January 3, 2024, Fundamental Global Inc. (f/k/a FG Financial Group, Inc., the "Parent"), FG Group LLC (the "Acquiror"), and FG Group Holdings Inc. (the "Company") entered into a Plan of Merger (the "Merger Agreement"), pursuant to which the Company merged with and into the Acquiror, with the Acquiror surviving the merger as a wholly owned subsidiary of the Parent (the "Merger"). On February 29, 2024, at approximately 4:05 PM Eastern time, the effective time of the Merger (the "Effective Time"), all of the outstanding shares of common stock of the Company ("Company Common Stock") were converted into shares of common stock of the Parent ("Parent Common Stock") on a 1:1 basis (the "Exchange Ratio") pursuant to the terms of the Merger Agreement. F2: Disposed of pursuant to the Merger Agreement in exchange for a number of shares of Parent Common Stock equal to the product of (i) the number of shares of Company Common Stock owned as of immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio. F3: The partnerships managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,137,953 shares of Common Stock. FGGP may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Ballantyne Strong Holdings, LLC ("BTN Holdings") and Fundamental Global Holdings, LP ("FGHP"). F4: Due to their positions with FGGP and affiliated entities, Messrs. D. Kyle Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN Holdings and FGHP. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F5: Mr. Moglia and Mr. Cerminara each also hold additional shares of Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectFUNDAMENTAL GLOBAL HOLDINGS, LP | 0 |
Reported balance
After 2024-02-29 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2024-02-29 · Disposition to issuer · Disposed 853,619 · Balance 0 F1: On January 3, 2024, Fundamental Global Inc. (f/k/a FG Financial Group, Inc., the "Parent"), FG Group LLC (the "Acquiror"), and FG Group Holdings Inc. (the "Company") entered into a Plan of Merger (the "Merger Agreement"), pursuant to which the Company merged with and into the Acquiror, with the Acquiror surviving the merger as a wholly owned subsidiary of the Parent (the "Merger"). On February 29, 2024, at approximately 4:05 PM Eastern time, the effective time of the Merger (the "Effective Time"), all of the outstanding shares of common stock of the Company ("Company Common Stock") were converted into shares of common stock of the Parent ("Parent Common Stock") on a 1:1 basis (the "Exchange Ratio") pursuant to the terms of the Merger Agreement. F2: Disposed of pursuant to the Merger Agreement in exchange for a number of shares of Parent Common Stock equal to the product of (i) the number of shares of Company Common Stock owned as of immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio. F3: The partnerships managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,137,953 shares of Common Stock. FGGP may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Ballantyne Strong Holdings, LLC ("BTN Holdings") and Fundamental Global Holdings, LP ("FGHP"). F4: Due to their positions with FGGP and affiliated entities, Messrs. D. Kyle Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN Holdings and FGHP. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F5: Mr. Moglia and Mr. Cerminara each also hold additional shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 3, 2024, Fundamental Global Inc. (f/k/a FG Financial Group, Inc., the "Parent"), FG Group LLC (the "Acquiror"), and FG Group Holdings Inc. (the "Company") entered into a Plan of Merger (the "Merger Agreement"), pursuant to which the Company merged with and into the Acquiror, with the Acquiror surviving the merger as a wholly owned subsidiary of the Parent (the "Merger"). On February 29, 2024, at approximately 4:05 PM Eastern time, the effective time of the Merger (the "Effective Time"), all of the outstanding shares of common stock of the Company ("Company Common Stock") were converted into shares of common stock of the Parent ("Parent Common Stock") on a 1:1 basis (the "Exchange Ratio") pursuant to the terms of the Merger Agreement.
F2: Disposed of pursuant to the Merger Agreement in exchange for a number of shares of Parent Common Stock equal to the product of (i) the number of shares of Company Common Stock owned as of immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio.
F3: The partnerships managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,137,953 shares of Common Stock. FGGP may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Ballantyne Strong Holdings, LLC ("BTN Holdings") and Fundamental Global Holdings, LP ("FGHP").
F4: Due to their positions with FGGP and affiliated entities, Messrs. D. Kyle Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN Holdings and FGHP. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein.
F5: Mr. Moglia and Mr. Cerminara each also hold additional shares of Common Stock.
Limbach Holdings, Inc.
Report date March 27, 2020 · Filed March 31, 2020
Section 16 reporting ended · disclosed 2020-03-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,400 |
Reported balance
After 2020-03-27 transaction · row 1
1 source rowRow 1 · 2020-03-27 · Exercise / conversion · Acquired 5,334 · Balance 6,400 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 3,200 |
Reported balance
After 2020-03-27 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-03-27 · Exercise / conversion · Disposed 2,134 · Balance 3,200 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3. F4: This award of RSUs was granted on 03/26/2019. The Company accelerated vesting of this RSU Award on March 27, 2020 in connection with the Reporting Person's resignation from the Board. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-03-27 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-03-27 · Exercise / conversion · Disposed 3,200 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3. F5: This award of RSUs was granted on 01/01/2020. The Company accelerated vesting of this RSU Award on March 27, 2020 in connection with the Reporting Person's resignation from the Board. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,080 |
Reported balance
Holding disclosure · report date 2020-03-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,080 F2: The securities are held by CWA Asset Management Group, LLC, 50% of which is owned by Fundamental Global Investors, LLC, for the accounts of individual investors. CWA, in its role as investment advisor for customer accounts, Fundamental Global Investors, LLC, as a 50% owner of CWA, and Mr. Cerminara, as manager of CWA, may each be deemed to beneficially own the number of shares held in CWA's customer accounts. Each of Fundamental Global Investors, LLC and Mr. Cerminara expressly disclaims such beneficial ownership. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 61,770 |
Reported balance
Holding disclosure · report date 2020-03-27 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 61,770 F3: The securities are held directly by 1347 Investors LLC ("1347 Investors"). The Reporting Person is a manager of 1347 Investors and shares voting and dispositive control over the securities held by 1347 Investors. Accordingly, the Reporting Person may be deemed to share beneficial ownership over the securities held directly by 1347 Investors. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3.
F2: The securities are held by CWA Asset Management Group, LLC, 50% of which is owned by Fundamental Global Investors, LLC, for the accounts of individual investors. CWA, in its role as investment advisor for customer accounts, Fundamental Global Investors, LLC, as a 50% owner of CWA, and Mr. Cerminara, as manager of CWA, may each be deemed to beneficially own the number of shares held in CWA's customer accounts. Each of Fundamental Global Investors, LLC and Mr. Cerminara expressly disclaims such beneficial ownership.
F3: The securities are held directly by 1347 Investors LLC ("1347 Investors"). The Reporting Person is a manager of 1347 Investors and shares voting and dispositive control over the securities held by 1347 Investors. Accordingly, the Reporting Person may be deemed to share beneficial ownership over the securities held directly by 1347 Investors. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
F4: This award of RSUs was granted on 03/26/2019. The Company accelerated vesting of this RSU Award on March 27, 2020 in connection with the Reporting Person's resignation from the Board.
F5: This award of RSUs was granted on 01/01/2020. The Company accelerated vesting of this RSU Award on March 27, 2020 in connection with the Reporting Person's resignation from the Board.
Strong Global Entertainment, Inc.
Report date September 30, 2024 · Filed October 03, 2024
Section 16 reporting ended · disclosed 2024-10-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common Voting SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2024-09-30 transaction · row 1
1 source rowRow 1 · 2024-09-30 · Other · Disposed 36,250 · Balance 0 F1: On September 30, 2024, in connection with the business combination of Strong Global Entertainment, Inc. ("SGE") with and into Fundamental Global Inc., ("FG"), each share of Class A Common Voting Stock of SGE was exchanged for 1.5 shares of FG common stock. SGE will terminate its status as a reporting company following the closing of the combination. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-09-30 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-09-30 · Other · Disposed 16,666 · Balance 0 F2: These Restricted Stock Units ("RSU") were granted on May 21, 2024 and will vest on the first anniversary of the grant date. On September 30, 2024, in connection with the business combination. the RSUs were exchanged for FG RSUs on a 1:1.5 basis. |
Filing footnotes · ownership attribution and instrument terms
F1: On September 30, 2024, in connection with the business combination of Strong Global Entertainment, Inc. ("SGE") with and into Fundamental Global Inc., ("FG"), each share of Class A Common Voting Stock of SGE was exchanged for 1.5 shares of FG common stock. SGE will terminate its status as a reporting company following the closing of the combination.
F2: These Restricted Stock Units ("RSU") were granted on May 21, 2024 and will vest on the first anniversary of the grant date. On September 30, 2024, in connection with the business combination. the RSUs were exchanged for FG RSUs on a 1:1.5 basis.
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 |
|---|---|---|---|---|---|---|
| December 18, 2019 Filed Dec 18, 2019 18:43 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,891 | $2.74 | $5,187.96 |
DisclosureSEC source: 0001104659-19-073929 · tm1926574-1_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: 1,523,053 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 $2.61 and $2.80 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 3,985,286 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 18, 2019 Filed Dec 18, 2019 18:43 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,891 | $2.74 | $5,187.96 |
DisclosureSEC source: 0001104659-19-073929 · tm1926574-1_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: 1,507,964 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 $2.61 and $2.80 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 3,985,286 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 17, 2019 Filed Dec 18, 2019 18:43 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,891 | $2.66 | $5,031.38 |
DisclosureSEC source: 0001104659-19-073929 · tm1926574-1_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: 1,521,162 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 $2.65 and $2.67 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 3,985,286 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 17, 2019 Filed Dec 18, 2019 18:43 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,892 | $2.66 | $5,034.04 |
DisclosureSEC source: 0001104659-19-073929 · tm1926574-1_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: 1,506,073 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 $2.65 and $2.67 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 3,985,286 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 16, 2019 Filed Dec 18, 2019 18:43 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,891 | $2.74 | $5,176.05 |
DisclosureSEC source: 0001104659-19-073929 · tm1926574-1_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: 1,519,271 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 $2.65 and $2.85 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 3,985,286 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 16, 2019 Filed Dec 18, 2019 18:43 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,892 | $2.74 | $5,178.78 |
DisclosureSEC source: 0001104659-19-073929 · tm1926574-1_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: 1,504,181 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 $2.65 and $2.85 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 3,985,286 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 13, 2019 Filed Dec 16, 2019 14:39 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 196 | $2.78 | $544.82 |
DisclosureSEC source: 0001104659-19-072963 · tm1926310d1_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: 1,517,380 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 $2.77 and $2.79 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 3,973,938 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 13, 2019 Filed Dec 16, 2019 14:39 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 195 | $2.78 | $542.04 |
DisclosureSEC source: 0001104659-19-072963 · tm1926310d1_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: 1,502,289 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 $2.77 and $2.79 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 3,973,938 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 12, 2019 Filed Dec 16, 2019 14:39 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,511 | $2.76 | $4,164.62 |
DisclosureSEC source: 0001104659-19-072963 · tm1926310d1_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: 1,517,184 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 $2.695 and $2.81 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 3,973,938 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 12, 2019 Filed Dec 16, 2019 14:39 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,511 | $2.76 | $4,164.62 |
DisclosureSEC source: 0001104659-19-072963 · tm1926310d1_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: 1,502,094 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 $2.695 and $2.81 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 3,973,938 shares of Common Stock, which represents approximately 27.4% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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 854,545 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 5.9% 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 10, 2019 Filed Dec 11, 2019 20:30 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,506 | $2.88 | $4,343.76 |
DisclosureSEC source: 0001104659-19-071947 · tm19250451_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: 1,515,673 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 $2.81 and $2.93 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 3,970,525 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 10, 2019 Filed Dec 11, 2019 20:30 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,505 | $2.88 | $4,340.87 |
DisclosureSEC source: 0001104659-19-071947 · tm19250451_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: 1,500,583 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 $2.81 and $2.93 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 3,970,525 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 09, 2019 Filed Dec 11, 2019 20:30 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,511 | $2.85 | $4,307.71 |
DisclosureSEC source: 0001104659-19-071947 · tm19250451_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: 1,514,167 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 $2.78 and $2.89 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 3,970,525 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 09, 2019 Filed Dec 11, 2019 20:30 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,511 | $2.85 | $4,307.71 |
DisclosureSEC source: 0001104659-19-071947 · tm19250451_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: 1,499,078 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 $2.78 and $2.89 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 3,970,525 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 06, 2019 Filed Dec 9, 2019 17:08 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 473 | $2.73 | $1,293.23 |
DisclosureSEC source: 0001104659-19-071050 · tm1924789-1_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: 1,512,656 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 $2.70 and $2.75 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 3,964,492 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 06, 2019 Filed Dec 9, 2019 17:08 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 473 | $2.73 | $1,293.23 |
DisclosureSEC source: 0001104659-19-071050 · tm1924789-1_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: 1,497,567 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 $2.70 and $2.75 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 3,964,492 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 05, 2019 Filed Dec 9, 2019 17:08 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 473 | $2.70 | $1,277.10 |
DisclosureSEC source: 0001104659-19-071050 · tm1924789-1_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: 1,512,183 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 3,964,492 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 05, 2019 Filed Dec 9, 2019 17:08 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 473 | $2.70 | $1,277.10 |
DisclosureSEC source: 0001104659-19-071050 · tm1924789-1_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: 1,497,094 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 3,964,492 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 04, 2019 Filed Dec 4, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 473 | $2.70 | $1,277.10 |
DisclosureSEC source: 0001104659-19-070015 · tm1924539_form4.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: 1,511,710 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 3,962,600 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 04, 2019 Filed Dec 4, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 473 | $2.70 | $1,277.10 |
DisclosureSEC source: 0001104659-19-070015 · tm1924539_form4.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: 1,496,621 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 3,962,600 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 03, 2019 Filed Dec 4, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 474 | $2.69 | $1,277.19 |
DisclosureSEC source: 0001104659-19-070015 · tm1924539_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: 1,511,237 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 $2.67 and $2.70 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 3,962,600 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 03, 2019 Filed Dec 4, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 473 | $2.69 | $1,274.50 |
DisclosureSEC source: 0001104659-19-070015 · tm1924539_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: 1,496,148 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 $2.67 and $2.70 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 3,962,600 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 02, 2019 Filed Dec 4, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 473 | $2.70 | $1,276.25 |
DisclosureSEC source: 0001104659-19-070015 · tm1924539_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: 1,510,763 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 $2.60 and $2.70 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 3,962,600 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 02, 2019 Filed Dec 4, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 474 | $2.70 | $1,278.95 |
DisclosureSEC source: 0001104659-19-070015 · tm1924539_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: 1,495,675 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. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.60 and $2.70 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 3,962,600 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 29, 2019 Filed Dec 2, 2019 17:23 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 469 | $2.69 | $1,261.09 |
DisclosureSEC source: 0001104659-19-069063 · tm19242731_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: 1,510,290 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 $2.68 and $2.69 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 3,959,760 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 29, 2019 Filed Dec 2, 2019 17:23 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 469 | $2.69 | $1,261.09 |
DisclosureSEC source: 0001104659-19-069063 · tm19242731_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: 1,495,201 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 $2.68 and $2.69 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 3,959,760 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 26, 2019 Filed Nov 27, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 3 | $2.61 | $7.83 |
DisclosureSEC source: 0001104659-19-068425 · tm1924074d1_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: 1,509,821 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 3,958,822 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 26, 2019 Filed Nov 27, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 4 | $2.61 | $10.44 |
DisclosureSEC source: 0001104659-19-068425 · tm1924074d1_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: 1,494,732 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 3,958,822 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 25, 2019 Filed Nov 27, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 269 | $2.56 | $687.73 |
DisclosureSEC source: 0001104659-19-068425 · tm1924074d1_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: 1,509,818 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 $2.47 and $2.60 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 3,958,822 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 25, 2019 Filed Nov 27, 2019 21:36 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 269 | $2.56 | $687.73 |
DisclosureSEC source: 0001104659-19-068425 · tm1924074d1_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: 1,494,728 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 $2.47 and $2.60 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 3,958,822 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 22, 2019 Filed Nov 25, 2019 15:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 50 | $2.60 | $130.00 |
DisclosureSEC source: 0001104659-19-067008 · tm1923835d1_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: 1,509,549 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 3,958,277 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 22, 2019 Filed Nov 25, 2019 15:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 50 | $2.60 | $130.00 |
DisclosureSEC source: 0001104659-19-067008 · tm1923835d1_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: 1,494,459 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 3,958,277 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 21, 2019 Filed Nov 25, 2019 15:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,391 | $2.60 | $6,208.95 |
DisclosureSEC source: 0001104659-19-067008 · tm1923835d1_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: 1,509,499 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 $2.55 and $2.70 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 3,958,277 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 21, 2019 Filed Nov 25, 2019 15:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,391 | $2.60 | $6,208.95 |
DisclosureSEC source: 0001104659-19-067008 · tm1923835d1_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: 1,494,409 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 $2.55 and $2.70 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 3,958,277 shares of Common Stock, which represents approximately 27.3% 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 854,545 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 5.9% 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 |
| November 20, 2019 Filed Nov 20, 2019 18:42 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,148 | $2.76 | $5,938.36 |
DisclosureSEC source: 0001104659-19-065954 · tm19235751_form4.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: 1,507,108 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 $2.735 and $2.80 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 3,953,395 shares of Common Stock, which represents approximately 27.2% 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 854,545 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 5.9% 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 |
| November 20, 2019 Filed Nov 20, 2019 18:42 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,148 | $2.76 | $5,938.36 |
DisclosureSEC source: 0001104659-19-065954 · tm19235751_form4.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: 1,492,018 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 $2.735 and $2.80 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 3,953,395 shares of Common Stock, which represents approximately 27.2% 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 854,545 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 5.9% 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 |
| November 19, 2019 Filed Nov 20, 2019 18:42 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,720 | $2.85 | $4,900.97 |
DisclosureSEC source: 0001104659-19-065954 · tm19235751_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: 1,504,960 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 $2.82 and $2.89 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 3,953,395 shares of Common Stock, which represents approximately 27.2% 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 854,545 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 5.9% 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 |
| November 19, 2019 Filed Nov 20, 2019 18:42 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 1,720 | $2.85 | $4,900.97 |
DisclosureSEC source: 0001104659-19-065954 · tm19235751_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: 1,489,870 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 $2.82 and $2.89 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 3,953,395 shares of Common Stock, which represents approximately 27.2% 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 854,545 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 5.9% 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 |
| November 19, 2019 Filed Nov 20, 2019 17:06 UTC | Limbach Holdings, Inc. LMB · Entity 5430 | Other$15 Exercise Price Sponsor Warrant · Derivative | 500,000 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0001104659-19-065925 · tm1923452d1_4.xml · derivative · entry 2 1347 Investors LLC · CIK 0001612411 · Director · 10% owner · See Remarks SWETS LARRY G JR · CIK 0001409891 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2023-07-20 F5 · derivative.exercise_price: Each $15 Exercise Price Sponsor Warrant is exercisable to purchase one share of common stock at an exercise price of $15.00 per share, subject to adjustment as described under the heading "Description of Securities--$15 Exercise Price Sponsor Warrants" in the Issuer's registration statement on Form S-1 (File No. 333-195695). F4 · kind: Represents a distribution of Common Stock and $15 Exercise Price Sponsor Warrants to certain members of 1347 Investors pursuant to a Distribution and Redemption Agreement, dated September 30, 2019. The distribution was completed on November 19, 2019. F1 · ownership.direct: The securities are held directly by 1347 Investors LLC ("1347 Investors"). Larry G. Swets, Jr. and D. Kyle Cerminara are each a manager of 1347 Investors and share voting and dispositive control over the securities held by 1347 Investors. Accordingly, Messrs. Swets and Cerminara may be deemed to share beneficial ownership over the securities held directly by 1347 Investors. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Messrs. Swets and Cerminara each serve on the Board of Directors of the Issuer. Mr. Swets holds 13,198 shares of common stock of the Issuer, and Messrs. Swets and Cerminara hold 6,402 and 3,200 restricted stock units, respectively, granted by the Issuer. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F3 · ownership.direct: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 7,080 shares of common stock for the accounts of individual investors. CWA, in its role as investment advisor for customer accounts, Fundamental Global Investors, LLC, as a 50% owner of CWA, and Mr. Cerminara, as manager of CWA, may each be deemed to beneficially own the number of shares held in CWA's customer accounts. Each of Fundamental Global Investors, LLC and Mr. Cerminara expressly disclaims such beneficial ownership. Read SEC document |
| November 19, 2019 Filed Nov 20, 2019 17:06 UTC | Limbach Holdings, Inc. LMB · Entity 5430 | OtherCommon Stock, $0.0001 par value | 1,236,344 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-065925 · tm1923452d1_4.xml · nonDerivative · entry 1 1347 Investors LLC · CIK 0001612411 · Director · 10% owner · See Remarks SWETS LARRY G JR · CIK 0001409891 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,770 F4 · kind: Represents a distribution of Common Stock and $15 Exercise Price Sponsor Warrants to certain members of 1347 Investors pursuant to a Distribution and Redemption Agreement, dated September 30, 2019. The distribution was completed on November 19, 2019. F1 · ownership.direct: The securities are held directly by 1347 Investors LLC ("1347 Investors"). Larry G. Swets, Jr. and D. Kyle Cerminara are each a manager of 1347 Investors and share voting and dispositive control over the securities held by 1347 Investors. Accordingly, Messrs. Swets and Cerminara may be deemed to share beneficial ownership over the securities held directly by 1347 Investors. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Messrs. Swets and Cerminara each serve on the Board of Directors of the Issuer. Mr. Swets holds 13,198 shares of common stock of the Issuer, and Messrs. Swets and Cerminara hold 6,402 and 3,200 restricted stock units, respectively, granted by the Issuer. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. F3 · ownership.direct: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 7,080 shares of common stock for the accounts of individual investors. CWA, in its role as investment advisor for customer accounts, Fundamental Global Investors, LLC, as a 50% owner of CWA, and Mr. Cerminara, as manager of CWA, may each be deemed to beneficially own the number of shares held in CWA's customer accounts. Each of Fundamental Global Investors, LLC and Mr. Cerminara expressly disclaims such beneficial ownership. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 18:42 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,101 | $2.81 | $5,912.21 |
DisclosureSEC source: 0001104659-19-065954 · tm19235751_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: 1,503,240 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. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.71 and $2.87 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 3,953,395 shares of Common Stock, which represents approximately 27.2% 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 854,545 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 5.9% 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 |
| November 18, 2019 Filed Nov 20, 2019 18:42 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,101 | $2.81 | $5,912.21 |
DisclosureSEC source: 0001104659-19-065954 · tm19235751_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: 1,488,150 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 $2.71 and $2.87 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 3,953,395 shares of Common Stock, which represents approximately 27.2% 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 854,545 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 5.9% 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 |
| November 15, 2019 Filed Nov 18, 2019 13:29 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 3,105 | $2.81 | $8,737.78 |
DisclosureSEC source: 0001104659-19-065008 · tm19212732_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: 1,501,139 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 $2.75 and $2.88 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 3,941,457 shares of Common Stock, which represents approximately 27.1% 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 854,545 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 5.9% 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 |
| November 15, 2019 Filed Nov 18, 2019 13:29 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 3,105 | $2.81 | $8,737.78 |
DisclosureSEC source: 0001104659-19-065008 · tm19212732_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: 1,486,049 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 $2.75 and $2.88 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 3,941,457 shares of Common Stock, which represents approximately 27.1% 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 854,545 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 5.9% 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 |
| November 14, 2019 Filed Nov 18, 2019 13:29 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 646 | $2.81 | $1,813.52 |
DisclosureSEC source: 0001104659-19-065008 · tm19212732_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: 1,498,034 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 $2.72 and $2.81 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 3,941,457 shares of Common Stock, which represents approximately 27.1% 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 854,545 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 5.9% 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 |
| November 14, 2019 Filed Nov 18, 2019 13:29 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 647 | $2.81 | $1,816.32 |
DisclosureSEC source: 0001104659-19-065008 · tm19212732_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: 1,482,944 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 $2.72 and $2.81 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 3,941,457 shares of Common Stock, which represents approximately 27.1% 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 854,545 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 5.9% 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 |
| November 13, 2019 Filed Nov 13, 2019 18:22 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,300 | $2.83 | $6,509.00 |
DisclosureSEC source: 0001104659-19-063461 · tm1922863d1_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: 1,497,388 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 3,933,954 shares of Common Stock, which represents approximately 27.1% 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 854,545 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 5.9% 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 |
| November 13, 2019 Filed Nov 13, 2019 18:22 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 2,300 | $2.83 | $6,509.00 |
DisclosureSEC source: 0001104659-19-063461 · tm1922863d1_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: 1,482,297 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. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 3,933,954 shares of Common Stock, which represents approximately 27.1% 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 854,545 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 5.9% 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 |
| November 08, 2019 Filed Nov 12, 2019 13:19 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 600 | $2.81 | $1,687.02 |
DisclosureSEC source: 0001104659-19-062437 · tm1922605-1_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: 1,495,088 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. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.805 and $2.835 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 3,929,354 shares of Common Stock, which represents approximately 27.1% 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 854,545 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 5.9% 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 |
| November 08, 2019 Filed Nov 12, 2019 13:19 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 600 | $2.81 | $1,687.02 |
DisclosureSEC source: 0001104659-19-062437 · tm1922605-1_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: 1,479,997 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 $2.805 and $2.835 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 3,929,354 shares of Common Stock, which represents approximately 27.1% 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 854,545 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 5.9% 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.