Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BK Technologies CorpBKTI · Entity 6049 | 10% owner | June 12, 2023 | June 14, 2023 |
| FG Communities Holdings Inc.FGNX · Entity 7310 | 10% owner | May 07, 2026 | May 15, 2026 |
| ITERIS, INC.ITI · Entity 86402 | Other | September 15, 2017 | September 18, 2017 |
| OppFi Inc.FGNA · Entity 1051 | Director · 10% owner | October 14, 2020 | October 16, 2020 |
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 June 12, 2023 · Filed June 14, 2023
Jointly reported with Fundamental Global GP, LLC, Cerminara Kyle, 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 | 324,388 |
Reported balance
After 2023-06-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-06-12 · Purchase · Acquired 5,500 · Balance 324,388 F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $15.81 to $16.64 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 purchased at each separate price within the range set forth above. F2: The partnerships managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 541,163 shares of Common Stock, which represent approximately 15.9% 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"). F3: 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 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. Moglia holds shares of Common Stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara also holds additional shares of Common Stock. F4: Fundamental Activist Fund I, LP ("FAFI") was merged into FG Special Situations Partners, LP ("FGSSP") as of December 31, 2022. As such, FGSSP owns membership interests in BKTH and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BKTH. |
| Common Stock, par value $0.60 per shareSEC Table I · non-derivative | IndirectFundamental Global Holdings, LP | 216,775 |
Reported balance
Holding disclosure · report date 2023-06-12 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 216,775 F2: The partnerships managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 541,163 shares of Common Stock, which represent approximately 15.9% 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"). F3: 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 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. Moglia holds shares of Common Stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara also holds additional shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $15.81 to $16.64 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 purchased at each separate price within the range set forth above.
F2: The partnerships managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 541,163 shares of Common Stock, which represent approximately 15.9% 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").
F3: 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 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. Moglia holds shares of Common Stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara also holds additional shares of Common Stock.
F4: Fundamental Activist Fund I, LP ("FAFI") was merged into FG Special Situations Partners, LP ("FGSSP") as of December 31, 2022. As such, FGSSP owns membership interests in BKTH and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BKTH.
FG Communities Holdings Inc.
Report date May 07, 2026 · Filed May 15, 2026
Jointly reported with Moglia Capital LLC, Moglia Trust 1, Moglia Trust 2
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 397,500 |
Reported balance
Holding disclosure · report date 2026-05-07 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 397,500 F1: The 397,500 shares of Common Stock, $0.001 par value per share (the "Common Stock") are held by Moglia Capital LLC, a Delaware limited liability company, for which Joseph H. Moglia serves as the managing member and has voting and dispositive power over the shares beneficially owned by Moglia Capital LLC. Mr. Moglia disclaims any beneficial ownership of the securities held by Moglia Capital LLC, except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 203,000 |
Reported balance
Holding disclosure · report date 2026-05-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 203,000 F2: The 203,000 shares of Common Stock are held by Moglia Trust 1 for which Robert C. Weeks is the trustee and has voting and dispositive power over the shares beneficially owned by Moglia Trust 1. Both Mr. Weeks and Mr. Moglia disclaim any beneficial ownership of the shares held by Moglia Trust 1, except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 30,000 |
Reported balance
Holding disclosure · report date 2026-05-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 30,000 F3: The 30,000 shares of Common Stock are held by Moglia Trust 2 for which Robert C. Weeks is the trustee and has voting and dispositive power over the shares beneficially owned by Moglia Trust 2. Both Mr. Weeks and Mr. Moglia disclaim any beneficial ownership of the shares held by Moglia Trust 2, except to the extent of their pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The 397,500 shares of Common Stock, $0.001 par value per share (the "Common Stock") are held by Moglia Capital LLC, a Delaware limited liability company, for which Joseph H. Moglia serves as the managing member and has voting and dispositive power over the shares beneficially owned by Moglia Capital LLC. Mr. Moglia disclaims any beneficial ownership of the securities held by Moglia Capital LLC, except to the extent of his pecuniary interest therein.
F2: The 203,000 shares of Common Stock are held by Moglia Trust 1 for which Robert C. Weeks is the trustee and has voting and dispositive power over the shares beneficially owned by Moglia Trust 1. Both Mr. Weeks and Mr. Moglia disclaim any beneficial ownership of the shares held by Moglia Trust 1, except to the extent of their pecuniary interest therein.
F3: The 30,000 shares of Common Stock are held by Moglia Trust 2 for which Robert C. Weeks is the trustee and has voting and dispositive power over the shares beneficially owned by Moglia Trust 2. Both Mr. Weeks and Mr. Moglia disclaim any beneficial ownership of the shares held by Moglia Trust 2, except to the extent of their pecuniary interest therein.
ITERIS, INC.
Report date September 15, 2017 · Filed September 18, 2017
Jointly reported with Fundamental Global Investors, LLC, BK Technologies Corp, Cerminara Kyle, Johnson Lewis M
| 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 October 14, 2020 · Filed October 16, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | IndirectBy FG New America Investors LLC. | 4,693,750 |
Reported balance
After 2020-10-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-10-14 · Disposition to issuer · Disposed 525,000 · Balance 4,693,750 F1: On October 14, 2020, FG New America Investors LLC (the "Sponsor") forfeited at no cost 525,000 shares of Class B common stock of the Issuer, which was exempted pursuant to Rule 16b-3(e) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full. F2: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-248429) (the "Registration Statement") and have no expiration date. F3: Held by the Sponsor. Mr. Moglia is a manager of the Sponsor and has voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Moglia disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 14, 2020, FG New America Investors LLC (the "Sponsor") forfeited at no cost 525,000 shares of Class B common stock of the Issuer, which was exempted pursuant to Rule 16b-3(e) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in connection with the election by the underwriters of the Issuer's initial public offering of units to exercise an option granted to them to cover over-allotments in part and not in full.
F2: The shares of Class B common stock are convertible for shares of the Issuer's Class A common stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-248429) (the "Registration Statement") and have no expiration date.
F3: Held by the Sponsor. Mr. Moglia is a manager of the Sponsor and has voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Moglia disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Past disclosures · reporting ended (2)
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, Cerminara Kyle, 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.
TD AMERITRADE HOLDING CORP
Report date October 06, 2020 · Filed October 07, 2020
Section 16 reporting ended · disclosed 2020-10-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-10-06 transaction · row 1
1 source rowRow 1 · 2020-10-06 · Disposition to issuer · Disposed 94,147 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in footnote 2.) F2: The closing price per share of Schwab common stock on the NYSE on the Closing Date was $36.75. In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding TD Ameritrade time-vesting restricted stock unit (including each deferred restricted stock unit award and each stock unit issued in respect of deferred cash fees) outstanding under the TD Ameritrade 2006 Directors Incentive Plan, as amended from time to time, (a "TD Ameritrade Director RSU") was vested (if unvested) and converted into the right to receive the Merger Consideration, as if such TD Ameritrade Director RSU had been settled immediately prior to the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in footnote 2.)
F2: The closing price per share of Schwab common stock on the NYSE on the Closing Date was $36.75. In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding TD Ameritrade time-vesting restricted stock unit (including each deferred restricted stock unit award and each stock unit issued in respect of deferred cash fees) outstanding under the TD Ameritrade 2006 Directors Incentive Plan, as amended from time to time, (a "TD Ameritrade Director RSU") was vested (if unvested) and converted into the right to receive the Merger Consideration, as if such TD Ameritrade Director RSU had been settled immediately prior to the Effective Time.
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 |
|---|---|---|---|---|---|---|
| August 04, 2025 Filed Aug 8, 2025 17:50 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | GrantPre-Funded Common Stock Purchase Warrant · Derivative | 100,000 | $4.99 Strike: $0.00 | $499,000.00 |
DisclosureSEC source: 0001641172-25-022840 · ownership.xml · derivative · entry 4 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Fundamental Global Holdings, LLC Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires not disclosed F2 · derivative.exercise_date: Exercise subject to the latter of the (i) effectiveness of articles of amendment to the Company's amended and restated articles of incorporation to increase authorized shares to 1,000,000,000 and (ii) 21st day following final information statement for Nasdaq Rule 5635(d) approval (the "Initial Exercise Date"). F3 · derivative.expiration_date: No expiration until exercised in full; exercise price pre-funded. F1 · balance_after: The holding companies managed by Fundamental Global GP, LLC ("FGGP"), including FG Financial Holdings LLC ("FGFH") and Fundamental Global Holdings LLC ("FGHL"), beneficially own in the aggregate 78,131 shares of the Issuer's preferred stock, 329,965 shares of the Issuer's common stock, and 300,000 of the Issuer's pre-funded common stock purchase warrants. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH and FGHL. 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 securities disclosed as directly owned by FGFH and FGHL. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| August 04, 2025 Filed Aug 8, 2025 17:50 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | GrantPre-Funded Common Stock Purchase Warrant · Derivative | 200,000 | $4.99 Strike: $0.00 | $998,000.00 |
DisclosureSEC source: 0001641172-25-022840 · ownership.xml · derivative · entry 3 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires not disclosed F2 · derivative.exercise_date: Exercise subject to the latter of the (i) effectiveness of articles of amendment to the Company's amended and restated articles of incorporation to increase authorized shares to 1,000,000,000 and (ii) 21st day following final information statement for Nasdaq Rule 5635(d) approval (the "Initial Exercise Date"). F3 · derivative.expiration_date: No expiration until exercised in full; exercise price pre-funded. F1 · balance_after: The holding companies managed by Fundamental Global GP, LLC ("FGGP"), including FG Financial Holdings LLC ("FGFH") and Fundamental Global Holdings LLC ("FGHL"), beneficially own in the aggregate 78,131 shares of the Issuer's preferred stock, 329,965 shares of the Issuer's common stock, and 300,000 of the Issuer's pre-funded common stock purchase warrants. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH and FGHL. 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 securities disclosed as directly owned by FGFH and FGHL. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 26, 2024 Filed Nov 29, 2024 13:05 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 7,000 | $18.28 | $127,960.00 |
DisclosureSEC source: 0000950170-24-131791 · ownership.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 78,131 F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $17.03 to $19.25, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares of the Issuer's common stock purchased at each separate price within the range set forth above. F3 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FG Financial Holdings LLC ("FGFH"), beneficially own in the aggregate 78,131 shares of the Issuer's Preferred Stock and 329,965 shares of the Issuer's common stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. 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 securities disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 26, 2024 Filed Nov 29, 2024 13:05 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCommon Stock | 3,000 | $29.92 | $89,760.00 |
DisclosureSEC source: 0000950170-24-131791 · ownership.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 329,965 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $28.86 to $33.00, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares of the Issuer's common stock purchased at each separate price within the range set forth above. F3 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FG Financial Holdings LLC ("FGFH"), beneficially own in the aggregate 78,131 shares of the Issuer's Preferred Stock and 329,965 shares of the Issuer's common stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. 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 securities disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 25, 2024 Filed Nov 25, 2024 16:25 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 2,712 | $18.50 | $50,172.00 |
DisclosureSEC source: 0000950170-24-130583 · ownership.xml · nonDerivative · entry 3 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 71,131 F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $18.33 to $18.50, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares of the Issuer's common stock purchased at each separate price within the range set forth above. F3 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FG Financial Holdings LLC ("FGFH"), beneficially own in the aggregate 71,131 shares of the Issuer's Preferred Stock and 326,965 shares of the Issuer's common stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. 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 securities disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 22, 2024 Filed Nov 25, 2024 16:25 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 2,267 | $18.28 | $41,440.76 |
DisclosureSEC source: 0000950170-24-130583 · ownership.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 68,419 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $17.00 to $19.59, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares of the Issuer's common stock purchased at each separate price within the range set forth above. F3 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FG Financial Holdings LLC ("FGFH"), beneficially own in the aggregate 71,131 shares of the Issuer's Preferred Stock and 326,965 shares of the Issuer's common stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. 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 securities disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 21, 2024 Filed Nov 21, 2024 21:04 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 2,279 | $17.59 | $40,087.61 |
DisclosureSEC source: 0000950170-24-129879 · ownership.xml · nonDerivative · entry 5 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 66,152 F6 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $17.00 to $18.60, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares of the Issuer's common stock purchased at each separate price within the range set forth above. F7 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FGFH, beneficially own in the aggregate 66,152 shares of the Issuer's Preferred Stock and 326,965 shares of the Issuer's common stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. 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 securities disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 20, 2024 Filed Nov 21, 2024 21:04 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 4,586 | $16.98 | $77,870.28 |
DisclosureSEC source: 0000950170-24-129879 · ownership.xml · nonDerivative · entry 4 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 63,873 F5 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $16.55 to $17.00, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares of the Issuer's common stock purchased at each separate price within the range set forth above. F7 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FGFH, beneficially own in the aggregate 66,152 shares of the Issuer's Preferred Stock and 326,965 shares of the Issuer's common stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. 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 securities disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 19, 2024 Filed Nov 21, 2024 21:04 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 3,156 | $17.05 | $53,809.80 |
DisclosureSEC source: 0000950170-24-129879 · ownership.xml · nonDerivative · entry 3 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 59,287 F4 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $16.95 to $17.47, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares of the Issuer's common stock purchased at each separate price within the range set forth above. F7 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FGFH, beneficially own in the aggregate 66,152 shares of the Issuer's Preferred Stock and 326,965 shares of the Issuer's common stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. 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 securities disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 19, 2024 Filed Nov 21, 2024 21:04 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCommon Stock | 5,000 | $35.86 | $179,300.00 |
DisclosureSEC source: 0000950170-24-129879 · ownership.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 326,965 F3 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $34.25 to $36.94, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares of the Issuer's common stock purchased at each separate price within the range set forth above. F7 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FGFH, beneficially own in the aggregate 66,152 shares of the Issuer's Preferred Stock and 326,965 shares of the Issuer's common stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. 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 securities disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| February 29, 2024 Filed Mar 1, 2024 17:18 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | GrantCommon Stock | 853,619 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-24-008587 · ownership.xml · nonDerivative · entry 3 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Group Holdings Inc. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Fundamental Global Holdings, LP Disclosed balance after: 853,619 F1 · price: 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 · price: Received in the Merger in exchange for an equal number of shares of Company Common Stock. F4 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FGFH, Ballantyne Strong Holdings LLC ("BTN Holdings"), and Fundamental Global Holdings LP ("FGHP"), beneficially owns in the aggregate 56,131 shares of Preferred Stock and 8,049,136 shares of Common Stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH, BTN Holdings, and FGHP. 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 securities disclosed as directly owned by FGFH, BTN Holdings, and FGHP. Each Reporting Person disclaims beneficial ownership of the shares of Preferred Stock and Common Stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| February 29, 2024 Filed Mar 1, 2024 17:18 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | GrantCommon Stock | 4,284,334 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-24-008587 · ownership.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO and Chairman · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Group Holdings Inc. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · Ballantyne Strong Holdings, LLC Disclosed balance after: 4,284,334 F1 · price: 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 · price: Received in the Merger in exchange for an equal number of shares of Company Common Stock. F4 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP"), including FGFH, Ballantyne Strong Holdings LLC ("BTN Holdings"), and Fundamental Global Holdings LP ("FGHP"), beneficially owns in the aggregate 56,131 shares of Preferred Stock and 8,049,136 shares of Common Stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH, BTN Holdings, and FGHP. 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 securities disclosed as directly owned by FGFH, BTN Holdings, and FGHP. Each Reporting Person disclaims beneficial ownership of the shares of Preferred Stock and Common Stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein. Read SEC document |
| February 29, 2024 Filed Mar 1, 2024 17:06 UTC | FG Group Holdings Inc. FGH · Entity 93668 | Disposition to issuerCommon Stock | 853,619 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-24-008548 · ownership.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FUNDAMENTAL GLOBAL HOLDINGS, LP Disclosed balance after: 0 F1 · price: 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 · price: 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 · price: 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 · price: 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 · price: Mr. Moglia and Mr. Cerminara each also hold additional shares of Common Stock. Read SEC document |
| February 29, 2024 Filed Mar 1, 2024 17:06 UTC | FG Group Holdings Inc. FGH · Entity 93668 | Disposition to issuerCommon Stock | 4,284,334 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-24-008548 · ownership.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 0 F1 · price: 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 · price: 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 · price: 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 · price: 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 · price: Mr. Moglia and Mr. Cerminara each also hold additional shares of Common Stock. Read SEC document |
| June 13, 2023 Filed Jun 14, 2023 19:13 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 26,407 | $1.85 | $48,852.95 |
DisclosureSEC source: 0000899243-23-015568 · doc4.xml · nonDerivative · entry 3 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Group Holdings Inc. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 5,666,111 F2 · balance_after: FG Financial Holdings, LLC ("FGFH"), which is managed by Fundamental Global GP, LLC ("FGGP"), beneficially owns in the aggregate 56,131 shares of Preferred Stock and 5,666,111 shares of Common Stock, which represent approximately 55.0% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. F3 · balance_after: 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 securities disclosed as directly owned by FGFH. Mr. Cerminara also holds additional shares of Common Stock and Preferred Stock. Each Reporting Person disclaims beneficial ownership of the securities referred to herein except to the extent of his or its pecuniary interest therein. F4 · balance_after: FG Group Holdings, Inc. ("FGH"), formerly known as Ballantyne Strong, Inc. ("BTN"), owns membership interests in FGFH and may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH; however, FGH disclaims beneficial ownership of the securities referred to herein except to the extent of its pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 23:05 UTC | BK Technologies Corp BKTI · Entity 6049 | PurchaseCommon Stock, par value $0.60 per share | 5,500 | $16.33 | $89,815.00 |
DisclosureSEC source: 0000899243-23-015564 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BK Technologies Holdings, LLC · CIK 0001956319 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · BK Technologies Holdings, LLC Disclosed balance after: 324,388 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $15.81 to $16.64 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 purchased at each separate price within the range set forth above. F2 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 541,163 shares of Common Stock, which represent approximately 15.9% 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"). F3 · balance_after: 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 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. Moglia holds shares of Common Stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara also holds additional shares of Common Stock. F4 · balance_after: Fundamental Activist Fund I, LP ("FAFI") was merged into FG Special Situations Partners, LP ("FGSSP") as of December 31, 2022. As such, FGSSP owns membership interests in BKTH and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BKTH. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 19:13 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 20,593 | $1.85 | $38,097.05 |
DisclosureSEC source: 0000899243-23-015568 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner FG Group Holdings Inc. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 5,639,704 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.81 to $1.85, 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, upon request, full information regarding the number of shares of Preferred Stock purchased at each separate price within the range set forth above. F2 · balance_after: FG Financial Holdings, LLC ("FGFH"), which is managed by Fundamental Global GP, LLC ("FGGP"), beneficially owns in the aggregate 56,131 shares of Preferred Stock and 5,666,111 shares of Common Stock, which represent approximately 55.0% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. F3 · balance_after: 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 securities disclosed as directly owned by FGFH. Mr. Cerminara also holds additional shares of Common Stock and Preferred Stock. Each Reporting Person disclaims beneficial ownership of the securities referred to herein except to the extent of his or its pecuniary interest therein. F4 · balance_after: FG Group Holdings, Inc. ("FGH"), formerly known as Ballantyne Strong, Inc. ("BTN"), owns membership interests in FGFH and may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH; however, FGH disclaims beneficial ownership of the securities referred to herein except to the extent of its pecuniary interest therein. Read SEC document |
| June 12, 2023 Filed Jun 14, 2023 19:03 UTC | FG Group Holdings Inc. FGH · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 20,200 | $1.72 | $34,744.00 |
DisclosureSEC source: 0000899243-23-015563 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,284,334 F5 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.68 to $1.81, 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, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F1 · balance_after: Fundamental Activist Fund I, LP was merged into FG Special Situations Partners, LP ("FGSSP") as of December 31, 2022. As such, FGSSP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F2 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,137,953 shares of Common Stock, which represent approximately 26.4% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F3 · balance_after: 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. F4 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 20:37 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 2,300 | $1.74 | $4,002.00 |
DisclosureSEC source: 0000899243-23-015496 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,264,134 F5 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.72 to $1.755, 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, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F1 · balance_after: Fundamental Activist Fund I, LP was merged into FG Special Situations Partners, LP ("FGSSP") as of December 31, 2022. As such, FGSSP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F2 · balance_after: The partnerships managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,117,753 shares of Common Stock, which represent approximately 26.3% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F3 · balance_after: 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. F4 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 15, 2022 Filed Dec 16, 2022 16:54 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 16,920 | $2.71 | $45,853.20 |
DisclosureSEC source: 0000899243-22-038833 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,261,834 F5 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.54 to $2.75, 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, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F1 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F2 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,115,453 shares of Common Stock, which represent approximately 26.3% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F3 · balance_after: 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. F4 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 14, 2022 Filed Dec 16, 2022 16:54 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 3,876 | $2.75 | $10,659.00 |
DisclosureSEC source: 0000899243-22-038833 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,244,914 F1 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F2 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,115,453 shares of Common Stock, which represent approximately 26.3% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F3 · balance_after: 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. F4 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 13, 2022 Filed Dec 14, 2022 16:17 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 23,430 | $2.74 | $64,198.20 |
DisclosureSEC source: 0000899243-22-038456 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,241,038 F6 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.67 to $2.75, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F2 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F3 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,094,657 shares of Common Stock, which represent approximately 26.2% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F4 · balance_after: 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 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 12, 2022 Filed Dec 14, 2022 16:17 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 6,774 | $2.62 | $17,747.88 |
DisclosureSEC source: 0000899243-22-038456 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,218,608 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.575 to $2.68, 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 purchased at each separate price within the range set forth above. F2 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F3 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,094,657 shares of Common Stock, which represent approximately 26.2% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F4 · balance_after: 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 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 08, 2022 Filed Dec 9, 2022 16:55 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 41,024 | $2.91 | $119,379.84 |
DisclosureSEC source: 0000899243-22-038103 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,211,834 F6 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.63 to $2.97, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F2 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F3 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,065,453 shares of Common Stock, which represent approximately 26.0% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F4 · balance_after: 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 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 07, 2022 Filed Dec 9, 2022 16:55 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 8,976 | $2.64 | $23,696.64 |
DisclosureSEC source: 0000899243-22-038103 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,170,810 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.51 to $2.69, 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 purchased at each separate price within the range set forth above. F2 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F3 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,065,453 shares of Common Stock, which represent approximately 26.0% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F4 · balance_after: 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 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 06, 2022 Filed Dec 7, 2022 16:18 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 71,423 | $2.88 | $205,698.24 |
DisclosureSEC source: 0000899243-22-037865 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,161,834 F6 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.60 to $2.97, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F2 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F3 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,015,453 shares of Common Stock, which represent approximately 25.8% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F4 · balance_after: 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 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 05, 2022 Filed Dec 7, 2022 16:18 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 5,538 | $2.53 | $14,011.14 |
DisclosureSEC source: 0000899243-22-037865 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,090,411 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.42 to $2.55, 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 purchased at each separate price within the range set forth above. F2 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F3 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 5,015,453 shares of Common Stock, which represent approximately 25.8% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F4 · balance_after: 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 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 02, 2022 Filed Dec 5, 2022 16:19 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,205 | $2.50 | $3,012.50 |
DisclosureSEC source: 0000899243-22-037615 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,084,873 F2 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F3 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 4,938,492 shares of Common Stock, which represent approximately 25.4% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F4 · balance_after: 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 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| December 02, 2022 Filed Dec 6, 2022 16:14 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 650 | $19.06 | $12,389.00 |
DisclosureSEC source: 0000899243-22-037775 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 56,131 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $19.00 to $19.46, 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, upon request, full information regarding the number of shares of Preferred Stock purchased at each separate price within the range set forth above. F2 · balance_after: FG Financial Holdings, LLC ("FGFH"), which is managed by Fundamental Global GP, LLC ("FGGP"), beneficially owns in the aggregate 56,131 shares of Preferred Stock and 5,619,111 shares of Common Stock, which represent approximately 59.8% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. F3 · balance_after: 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 securities disclosed as directly owned by FGFH. Mr. Cerminara also holds additional shares of Common Stock and Preferred Stock. Each Reporting Person disclaims beneficial ownership of the securities referred to herein except to the extent of his or its pecuniary interest therein. F4 · balance_after: Ballantyne Strong, Inc. ("BTN") owns membership interests in FGFH and may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH; however, BTN disclaims beneficial ownership of the securities referred to herein except to the extent of its pecuniary interest therein. Read SEC document |
| December 01, 2022 Filed Dec 2, 2022 16:14 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 1,259 | $19.54 | $24,600.86 |
DisclosureSEC source: 0000899243-22-037410 · doc4.xml · nonDerivative · entry 4 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 55,481 F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $19.28 to $19.70, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Preferred Stock purchased at each separate price within the range set forth above. F3 · balance_after: FG Financial Holdings, LLC ("FGFH"), which is managed by Fundamental Global GP, LLC ("FGGP"), beneficially owns in the aggregate 55,481 shares of Preferred Stock and 5,619,111 shares of Common Stock, which represent approximately 59.8% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. F4 · balance_after: 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 securities disclosed as directly owned by FGFH. Mr. Cerminara also holds additional shares of Common Stock and Preferred Stock. Each Reporting Person disclaims beneficial ownership of the securities referred to herein except to the extent of his or its pecuniary interest therein. F5 · balance_after: Ballantyne Strong, Inc. ("BTN") owns membership interests in FGFH and may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH; however, BTN disclaims beneficial ownership of the securities referred to herein except to the extent of its pecuniary interest therein. Read SEC document |
| December 01, 2022 Filed Dec 5, 2022 16:19 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 4,726 | $2.50 | $11,815.00 |
DisclosureSEC source: 0000899243-22-037615 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,083,668 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.48 to $2.50, 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, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F2 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F3 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 4,938,492 shares of Common Stock, which represent approximately 25.4% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F4 · balance_after: 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 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| November 30, 2022 Filed Dec 1, 2022 16:38 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 4,878 | $2.48 | $12,097.44 |
DisclosureSEC source: 0000899243-22-037286 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,078,942 F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.46 to $2.50, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F3 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F4 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 4,932,561 shares of Common Stock, which represent approximately 25.3% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F5 · balance_after: 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. F6 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| November 30, 2022 Filed Dec 2, 2022 16:14 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 2,400 | $19.04 | $45,696.00 |
DisclosureSEC source: 0000899243-22-037410 · doc4.xml · nonDerivative · entry 3 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 54,222 F1 · price: The prices reported in Column 4 are weighted average prices. The shares were purchased as follows: (i) 1,146 shares were purchased in multiple transactions at prices ranging from $16.70 to $17.59, inclusive; (ii) 3,200 shares were purchased in multiple transactions at prices ranging from $17.88 to $18.85, inclusive; and (iii) 2,400 shares were purchased in multiple transactions at prices ranging from $18.98 to $19.12, 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 Preferred Stock purchased at each separate price within the ranges set forth above. Read SEC document |
| November 30, 2022 Filed Dec 2, 2022 16:14 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 3,200 | $18.29 | $58,528.00 |
DisclosureSEC source: 0000899243-22-037410 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 51,822 F1 · price: The prices reported in Column 4 are weighted average prices. The shares were purchased as follows: (i) 1,146 shares were purchased in multiple transactions at prices ranging from $16.70 to $17.59, inclusive; (ii) 3,200 shares were purchased in multiple transactions at prices ranging from $17.88 to $18.85, inclusive; and (iii) 2,400 shares were purchased in multiple transactions at prices ranging from $18.98 to $19.12, 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 Preferred Stock purchased at each separate price within the ranges set forth above. Read SEC document |
| November 30, 2022 Filed Dec 2, 2022 16:14 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 1,146 | $17.19 | $19,699.74 |
DisclosureSEC source: 0000899243-22-037410 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 48,622 F1 · price: The prices reported in Column 4 are weighted average prices. The shares were purchased as follows: (i) 1,146 shares were purchased in multiple transactions at prices ranging from $16.70 to $17.59, inclusive; (ii) 3,200 shares were purchased in multiple transactions at prices ranging from $17.88 to $18.85, inclusive; and (iii) 2,400 shares were purchased in multiple transactions at prices ranging from $18.98 to $19.12, 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 Preferred Stock purchased at each separate price within the ranges set forth above. Read SEC document |
| November 29, 2022 Filed Dec 1, 2022 00:40 UTC | BK Technologies Corp BKTI · Entity 6049 | PurchaseCommon Stock, par value $0.60 per share | 7,120 | $2.73 | $19,437.60 |
DisclosureSEC source: 0000899243-22-037239 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BK Technologies Holdings, LLC · CIK 0001956319 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BK Technologies Holdings, LLC Disclosed balance after: 1,594,438 F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.68 to $2.78, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F3 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 2,678,313 shares of Common Stock, which represent approximately 15.8% 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"). On August 1, 2021, the investment management agreements for FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Global Capital Appreciation Fund, LP ("FGCA") were assigned to CW Institutional, LLC and EverStar Asset Management, LLC, respectively, and no Reporting Person has voting or investment power over the 106,383 and 8,710 shares of the Company's Common Stock that were previously reported by FGGM and FGCA, respectively. F4 · balance_after: 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 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. Moglia holds 845,813 shares of Common Stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara also holds additional shares of Common Stock. F5 · balance_after: This amount includes the 1,544,438 shares previously reported as directly beneficially owned by BKTH. On January 6, 2022, BKTH transferred to Fundamental Activist Fund I, LP ("FAFI") the 1,544,438 shares that were contributed to BKTH on November 28, 2022. FAFI owns membership interests in BKTH and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BKTH. Read SEC document |
| November 29, 2022 Filed Nov 30, 2022 20:39 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 441 | $17.07 | $7,527.87 |
DisclosureSEC source: 0000899243-22-037245 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 47,476 F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $17.00 to $17.175, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Preferred Stock purchased at each separate price within the range set forth above. F3 · balance_after: FG Financial Holdings, LLC ("FGFH"), which is managed by Fundamental Global GP, LLC ("FGGP"), beneficially owns in the aggregate 47,476 shares of Preferred Stock and 5,619,111 shares of Common Stock, which represent approximately 59.8% of the Company's outstanding shares of Common Stock. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH. F4 · balance_after: 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 securities disclosed as directly owned by FGFH. Mr. Cerminara also holds additional shares of Common Stock and Preferred Stock. Each Reporting Person disclaims beneficial ownership of the securities referred to herein except to the extent of his or its pecuniary interest therein. F5 · balance_after: Ballantyne Strong, Inc. ("BTN") owns membership interests in FGFH and may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH; however, BTN disclaims beneficial ownership of the securities referred to herein except to the extent of its pecuniary interest therein. Read SEC document |
| November 29, 2022 Filed Dec 1, 2022 16:38 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 4,608 | $2.41 | $11,105.28 |
DisclosureSEC source: 0000899243-22-037286 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 4,074,064 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.295 to $2.45, 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 purchased at each separate price within the range set forth above. F3 · balance_after: Fundamental Activist Fund I, LP owns membership interests in Ballantyne Strong Holdings, LLC ("BTN Holdings") and may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by BTN Holdings. F4 · balance_after: The funds managed by Fundamental Global GP, LLC ("FGGP") beneficially own in the aggregate 4,932,561 shares of Common Stock, which represent approximately 25.3% 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 BTN Holdings and Fundamental Global Holdings, LP ("FGHP"). F5 · balance_after: 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. F6 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Mr. Cerminara also holds additional shares of Common Stock. Read SEC document |
| November 28, 2022 Filed Nov 29, 2022 20:35 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 4,945 | $2.33 | $11,521.85 |
DisclosureSEC source: 0000899243-22-037164 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 7,622 F2 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.295 to $2.40, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. Read SEC document |
| November 28, 2022 Filed Dec 1, 2022 00:40 UTC | BK Technologies Corp BKTI · Entity 6049 | PurchaseCommon Stock, par value $0.60 per share | 42,880 | $2.75 | $117,920.00 |
DisclosureSEC source: 0000899243-22-037239 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BK Technologies Holdings, LLC · CIK 0001956319 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BK Technologies Holdings, LLC Disclosed balance after: 1,587,318 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.655 to $2.75, 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 purchased at each separate price within the range set forth above. Read SEC document |
| November 28, 2022 Filed Nov 30, 2022 20:39 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 904 | $16.99 | $15,358.96 |
DisclosureSEC source: 0000899243-22-037245 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 47,035 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $16.93 to $17.00, 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 Preferred Stock purchased at each separate price within the range set forth above. Read SEC document |
| November 25, 2022 Filed Nov 29, 2022 20:35 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 2,677 | $2.26 | $6,050.02 |
DisclosureSEC source: 0000899243-22-037164 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Ballantyne Strong Holdings, LLC · CIK 0001956315 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG HOLDINGS, LLC Disclosed balance after: 2,677 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.22 to $2.28, 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 purchased at each separate price within the range set forth above. Read SEC document |
| September 15, 2022 Filed Sep 19, 2022 20:52 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 3,456 | $2.09 | $7,223.04 |
DisclosureSEC source: 0000899243-22-031544 · doc4.xml · nonDerivative · entry 3 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 5,619,111 F4 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.08 to $2.10, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the ranges set forth above. F2 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. D. Kyle Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the securities disclosed as directly owned by FG Financial Holdings, LLC ("FGFH"). Additionally, Mr. Cerminara holds 21,356 shares of Common Stock and restricted stock units representing the right to receive 56,930 shares of Common Stock upon vesting. Each of Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH") and Ballantyne Strong, Inc. owns membership interests in FGFH and may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH; however, each disclaims beneficial ownership of the securities referred to herein except to the extent of its pecuniary interest therein. F3 · balance_after: Mr. Cerminara beneficially owns in the aggregate 5,640,467 shares of Common Stock, which represent approximately 60.3% of the Company's outstanding shares of Common Stock. The other Reporting Persons beneficially own in the aggregate 5,619,111 shares of Common Stock, which represent approximately 60.1% of the Company's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the securities referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| September 15, 2022 Filed Sep 19, 2022 20:52 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 8,917 | $21.87 | $195,014.79 |
DisclosureSEC source: 0000899243-22-031544 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 46,131 F1 · price: The prices reported in Column 4 are weighted average prices. 749 shares were purchased in multiple transactions at prices ranging from $20.40 to $21.37, inclusive. 8,917 shares were purchased in multiple transactions at prices ranging from $21.42 to $22.40, 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 Preferred Stock purchased at each separate price within the ranges set forth above. F2 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. D. Kyle Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the securities disclosed as directly owned by FG Financial Holdings, LLC ("FGFH"). Additionally, Mr. Cerminara holds 21,356 shares of Common Stock and restricted stock units representing the right to receive 56,930 shares of Common Stock upon vesting. Each of Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH") and Ballantyne Strong, Inc. owns membership interests in FGFH and may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH; however, each disclaims beneficial ownership of the securities referred to herein except to the extent of its pecuniary interest therein. F3 · balance_after: Mr. Cerminara beneficially owns in the aggregate 5,640,467 shares of Common Stock, which represent approximately 60.3% of the Company's outstanding shares of Common Stock. The other Reporting Persons beneficially own in the aggregate 5,619,111 shares of Common Stock, which represent approximately 60.1% of the Company's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the securities referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| September 15, 2022 Filed Sep 19, 2022 20:52 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 749 | $21.01 | $15,736.49 |
DisclosureSEC source: 0000899243-22-031544 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 37,214 F1 · price: The prices reported in Column 4 are weighted average prices. 749 shares were purchased in multiple transactions at prices ranging from $20.40 to $21.37, inclusive. 8,917 shares were purchased in multiple transactions at prices ranging from $21.42 to $22.40, 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 Preferred Stock purchased at each separate price within the ranges set forth above. F2 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. D. Kyle Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the securities disclosed as directly owned by FG Financial Holdings, LLC ("FGFH"). Additionally, Mr. Cerminara holds 21,356 shares of Common Stock and restricted stock units representing the right to receive 56,930 shares of Common Stock upon vesting. Each of Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH") and Ballantyne Strong, Inc. owns membership interests in FGFH and may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH; however, each disclaims beneficial ownership of the securities referred to herein except to the extent of its pecuniary interest therein. F3 · balance_after: Mr. Cerminara beneficially owns in the aggregate 5,640,467 shares of Common Stock, which represent approximately 60.3% of the Company's outstanding shares of Common Stock. The other Reporting Persons beneficially own in the aggregate 5,619,111 shares of Common Stock, which represent approximately 60.1% of the Company's outstanding shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the securities referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| September 14, 2022 Filed Sep 14, 2022 20:54 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 86,320 | $1.88 | $162,281.60 |
DisclosureSEC source: 0000899243-22-031086 · doc4.xml · nonDerivative · entry 11 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 5,615,655 F11 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.71 to $2.00, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F2 · balance_after: Due to their positions with Fundamental Global GP, LLC ("FGGP") and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock and the shares of Preferred Stock disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F7 · balance_after: The Reporting Persons beneficially own in the aggregate 5,615,655 shares of Common Stock, which represent approximately 60.1% 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 FGFH. Mr. Cerminara holds 21,356 shares of Common Stock and restricted stock units representing the right to receive 56,930 shares of Common Stock upon vesting. Read SEC document |
| September 14, 2022 Filed Sep 14, 2022 20:54 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 2,675 | $22.14 | $59,224.50 |
DisclosureSEC source: 0000899243-22-031086 · doc4.xml · nonDerivative · entry 7 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 36,465 F6 · price: The prices reported in Column 4 are weighted average prices. 5,579 shares were purchased in multiple transactions at prices ranging from $20.65 to $21.605, inclusive. 2,675 shares were purchased in multiple transactions at prices ranging from $21.79 to $22.42, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Preferred Stock purchased at each separate price within the ranges set forth above. F2 · balance_after: Due to their positions with Fundamental Global GP, LLC ("FGGP") and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock and the shares of Preferred Stock disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F3 · balance_after: The Reporting Persons beneficially own in the aggregate 36,465 shares of Preferred Stock. FGGP may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGFH. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. Read SEC document |
| September 14, 2022 Filed Sep 14, 2022 20:54 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 5,579 | $21.33 | $119,000.07 |
DisclosureSEC source: 0000899243-22-031086 · doc4.xml · nonDerivative · entry 6 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 33,790 F6 · price: The prices reported in Column 4 are weighted average prices. 5,579 shares were purchased in multiple transactions at prices ranging from $20.65 to $21.605, inclusive. 2,675 shares were purchased in multiple transactions at prices ranging from $21.79 to $22.42, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Preferred Stock purchased at each separate price within the ranges set forth above. F2 · balance_after: Due to their positions with Fundamental Global GP, LLC ("FGGP") and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock and the shares of Preferred Stock disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F3 · balance_after: The Reporting Persons beneficially own in the aggregate 36,465 shares of Preferred Stock. FGGP may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGFH. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. Read SEC document |
| September 13, 2022 Filed Sep 14, 2022 20:54 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 33,557 | $1.68 | $56,375.76 |
DisclosureSEC source: 0000899243-22-031086 · doc4.xml · nonDerivative · entry 10 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 5,529,335 F10 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.65 to $1.725, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the range set forth above. F2 · balance_after: Due to their positions with Fundamental Global GP, LLC ("FGGP") and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock and the shares of Preferred Stock disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F7 · balance_after: The Reporting Persons beneficially own in the aggregate 5,615,655 shares of Common Stock, which represent approximately 60.1% 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 FGFH. Mr. Cerminara holds 21,356 shares of Common Stock and restricted stock units representing the right to receive 56,930 shares of Common Stock upon vesting. Read SEC document |
| September 13, 2022 Filed Sep 14, 2022 20:54 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 8,819 | $20.43 | $180,172.17 |
DisclosureSEC source: 0000899243-22-031086 · doc4.xml · nonDerivative · entry 5 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner FG Financial Holdings, LLC · CIK 0001946735 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FG Financial Holdings, LLC Disclosed balance after: 28,211 F5 · price: The prices reported in Column 4 are weighted average prices. 5,839 shares were purchased in multiple transactions at prices ranging from $19.095 to $20.00, inclusive. 8,819 shares were purchased in multiple transactions at prices ranging from $20.21 to $20.75, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the SEC, upon request, full information regarding the number of shares of Preferred Stock purchased at each separate price within the ranges set forth above. F2 · balance_after: Due to their positions with Fundamental Global GP, LLC ("FGGP") and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock and the shares of Preferred Stock disclosed as directly owned by FGFH. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F3 · balance_after: The Reporting Persons beneficially own in the aggregate 36,465 shares of Preferred Stock. FGGP may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGFH. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. 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.