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 |
|---|---|---|---|---|---|---|
| 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 | 5,839 | $19.70 | $115,028.30 |
DisclosureSEC source: 0000899243-22-031086 · 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: 19,392 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 |
| September 12, 2022 Filed Sep 14, 2022 20:54 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 64,280 | $1.64 | $105,419.20 |
DisclosureSEC source: 0000899243-22-031086 · doc4.xml · nonDerivative · entry 9 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: 5,495,778 F9 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.59 to $1.77, 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 12, 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 | 1,491 | $19.99 | $29,805.09 |
DisclosureSEC source: 0000899243-22-031086 · 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: 13,553 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 12, 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 | 3,089 | $17.19 | $53,099.91 |
DisclosureSEC source: 0000899243-22-031086 · 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: 12,062 F4 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $16.79 to $17.48, 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 ("SEC"), 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: 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 |
| June 16, 2022 Filed Jun 17, 2022 14:28 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 10,418 | $2.49 | $25,940.82 |
DisclosureSEC source: 0000899243-22-023033 · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL ACTIVIST FUND I, LP Disclosed balance after: 4,061,834 F1 · balance_after: The funds managed by Fundamental Global GP, LLC beneficially own in the aggregate 4,915,453 shares of Common Stock, which represent approximately 25.5% of the Company's outstanding shares of Common Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Holdings, LP ("FGHP"). 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 shares of Common Stock disclosed as directly owned by FAFI 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. F3 · 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 16, 2022 Filed Jun 17, 2022 14:28 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,265,822 | $1.58 | $1,999,998.76 |
DisclosureSEC source: 0000899243-22-023032 · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG, INC. Disclosed balance after: 2,904,231 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 5,431,498 shares of Common Stock, which represent approximately 58.5% of the Company's outstanding shares of Common Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Activist Fund I, LP ("FAFI") and FGI 1347 Holdings, LP ("FGIH"). Mr. Cerminara holds 16,925 shares of Common Stock and restricted stock units representing the right to receive 29,716 shares of Common Stock upon vesting. F4 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FAFI. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| June 16, 2022 Filed Jun 17, 2022 14:28 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 632,911 | $1.58 | $999,999.38 |
DisclosureSEC source: 0000899243-22-023032 · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL ACTIVIST FUND I, LP Disclosed balance after: 2,049,985 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 5,431,498 shares of Common Stock, which represent approximately 58.5% of the Company's outstanding shares of Common Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Activist Fund I, LP ("FAFI") and FGI 1347 Holdings, LP ("FGIH"). Mr. Cerminara holds 16,925 shares of Common Stock and restricted stock units representing the right to receive 29,716 shares of Common Stock upon vesting. F4 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FAFI. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| June 15, 2022 Filed Jun 16, 2022 13:28 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 19,582 | $2.52 | $49,346.64 |
DisclosureSEC source: 0000899243-22-022737 · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL ACTIVIST FUND I, LP Disclosed balance after: 4,051,416 F1 · balance_after: The funds managed by Fundamental Global GP, LLC beneficially own in the aggregate 4,905,035 shares of Common Stock, which represent approximately 25.5% of the Company's outstanding shares of Common Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Holdings, LP ("FGHP"). 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 shares of Common Stock disclosed as directly owned by FAFI 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. F3 · 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 14, 2022 Filed Jun 15, 2022 16:11 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 42,100 | $2.55 | $107,355.00 |
DisclosureSEC source: 0000899243-22-022557 · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL ACTIVIST FUND I, LP Disclosed balance after: 4,031,834 F1 · balance_after: The funds managed by Fundamental Global GP, LLC beneficially own in the aggregate 4,885,453 shares of Common Stock, which represent approximately 25.4% of the Company's outstanding shares of Common Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Holdings, LP ("FGHP"). 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 management authority over the 270,123 shares and 59,211 shares of the Company's Common Stock that were previously reported by FGGM and FGCA, respectively. F3 · 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 shares of Common Stock disclosed as directly owned by FAFI 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 13, 2022 Filed Jun 15, 2022 16:11 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 7,900 | $2.60 | $20,540.00 |
DisclosureSEC source: 0000899243-22-022557 · 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 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL ACTIVIST FUND I, LP Disclosed balance after: 3,989,734 F1 · balance_after: The funds managed by Fundamental Global GP, LLC beneficially own in the aggregate 4,885,453 shares of Common Stock, which represent approximately 25.4% of the Company's outstanding shares of Common Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Holdings, LP ("FGHP"). 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 management authority over the 270,123 shares and 59,211 shares of the Company's Common Stock that were previously reported by FGGM and FGCA, respectively. F3 · 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 shares of Common Stock disclosed as directly owned by FAFI 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 09, 2021 Filed Dec 14, 2021 00:45 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Sale8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 385 | $24.50 | $9,432.50 |
DisclosureSEC source: 0000899243-21-047950 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 8,973 F3 · balance_after: The Reporting Persons beneficially own in the aggregate 8,973 shares of Preferred Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. F4 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. Due to his positions with BTN, Fundamental Global GP, LLC and affiliated entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 08, 2021 Filed Dec 10, 2021 02:01 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Sale8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 7,618 | $24.73 | $188,393.14 |
DisclosureSEC source: 0000899243-21-047627 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 9,358 F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.65 to $24.82, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Preferred Stock sold at each separate price within the range set forth above. F3 · balance_after: The Reporting Persons beneficially own in the aggregate 9,358 shares of Preferred Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. F4 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. Due to his positions with BTN, Fundamental Global GP, LLC and affiliated entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 07, 2021 Filed Dec 10, 2021 02:01 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Sale8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 2,003 | $25.00 | $50,075.00 |
DisclosureSEC source: 0000899243-21-047627 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 16,976 F3 · balance_after: The Reporting Persons beneficially own in the aggregate 9,358 shares of Preferred Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. F4 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. Due to his positions with BTN, Fundamental Global GP, LLC and affiliated entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 02:52 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Sale8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 2,345 | $25.00 | $58,625.00 |
DisclosureSEC source: 0000899243-21-047262 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 18,979 F4 · balance_after: The Reporting Persons beneficially own in the aggregate 18,979 shares of Preferred Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. F5 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. Due to his positions with BTN, Fundamental Global GP, LLC and affiliated entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 03, 2021 Filed Dec 8, 2021 02:52 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Sale8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 1,354 | $25.00 | $33,850.00 |
DisclosureSEC source: 0000899243-21-047262 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 21,324 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.25, inclusive. The Reporting Persons undertake to provide to the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Preferred Stock sold at each separate price within the range set forth above. F4 · balance_after: The Reporting Persons beneficially own in the aggregate 18,979 shares of Preferred Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. F5 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. Due to his positions with BTN, Fundamental Global GP, LLC and affiliated entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 29, 2021 Filed Dec 10, 2021 02:01 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | OtherSUBSCRIPTION RIGHTS (RIGHT TO BUY) · Derivative | 600,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0000899243-21-047627 · doc4.xml · derivative · entry 9 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG, INC. Disclosed balance after: 0 Underlying: COMMON STOCK · 600,000 shares Expires 2021-11-29 F7 · shares: As previously reported in its Form 8-K filed on December 3, 2021, on November 29, 2021, BTN elected to exercise (i) the subscription rights distributed by the Company on October 29, 2021 to it to purchase 155,761 shares of the Company's Common Stock at a purchase price of $4.00 per share and (ii) its over-subscription privilege to purchase an additional 444,239 additional shares of the Company's Common Stock at a purchase price of $4.00 per share. Read SEC document |
| November 29, 2021 Filed Dec 10, 2021 02:01 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | OtherCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 600,000 | $4.00 | $2,400,000.00 |
DisclosureSEC source: 0000899243-21-047627 · doc4.xml · nonDerivative · entry 3 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BALLANTYNE STRONG, INC. Disclosed balance after: 1,638,409 F7 · shares: As previously reported in its Form 8-K filed on December 3, 2021, on November 29, 2021, BTN elected to exercise (i) the subscription rights distributed by the Company on October 29, 2021 to it to purchase 155,761 shares of the Company's Common Stock at a purchase price of $4.00 per share and (ii) its over-subscription privilege to purchase an additional 444,239 additional shares of the Company's Common Stock at a purchase price of $4.00 per share. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,632,765 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 55.9% of the Company's outstanding shares of Common Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 15,592 shares of Common Stock and restricted stock units representing the right to receive 16,557 shares of Common Stock upon vesting. F4 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. Due to his positions with BTN, Fundamental Global GP, LLC and affiliated entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| September 15, 2021 Filed Sep 16, 2021 23:30 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Sale8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 11,321 | $25.01 | $283,138.21 |
DisclosureSEC source: 0000899243-21-036325 · doc4.xml · nonDerivative · entry 2 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 22,678 F4 · balance_after: The Reporting Persons beneficially own in the aggregate 22,678 shares of Preferred Stock, which represent approximately 2.5% of the outstanding shares of Preferred Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. F5 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. Due to his positions with BTN, Fundamental Global GP, LLC and affiliated entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| September 14, 2021 Filed Sep 16, 2021 23:30 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | Sale8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 621 | $25.18 | $15,636.78 |
DisclosureSEC source: 0000899243-21-036325 · doc4.xml · nonDerivative · entry 1 Fundamental Global GP, LLC · CIK 0001878780 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 33,999 F4 · balance_after: The Reporting Persons beneficially own in the aggregate 22,678 shares of Preferred Stock, which represent approximately 2.5% of the outstanding shares of Preferred Stock. Fundamental Global GP, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM. In addition, Mr. Cerminara owns 44 shares of Preferred Stock in a joint account with his spouse. F5 · balance_after: Due to their positions with Fundamental Global GP, LLC and affiliated entities, Messrs. Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FAFI and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. Due to his positions with BTN, Fundamental Global GP, LLC and affiliated entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| July 22, 2021 Filed Jul 27, 2021 00:30 UTC | BK Technologies Corp BKTI · Entity 6049 | SaleCommon Stock, par value $0.60 per share | 630,915 | $3.17 | $2,000,000.55 |
DisclosureSEC source: 0000899243-21-030006 · doc4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · BK Technologies Holdings, LLC Disclosed balance after: 1,544,438 F1 · shares: Includes (i) 763,597 shares of common stock, par value $0.60 per share (the "common stock"), of BK Technologies Corp (the "Company") transferred to BK Technologies Holdings, LLC ("BKTH") from Fundamental Activist Fund I, LP on July 22, 2021 and (ii) 1,411,756 shares of common stock transferred to BKTH from Fundamental Global Partners Master Fund, LP on July 22, 2021. Such transfers were exempt from Section 16 pursuant to Rule 16a-13. F1 · balance_after: Includes (i) 763,597 shares of common stock, par value $0.60 per share (the "common stock"), of BK Technologies Corp (the "Company") transferred to BK Technologies Holdings, LLC ("BKTH") from Fundamental Activist Fund I, LP on July 22, 2021 and (ii) 1,411,756 shares of common stock transferred to BKTH from Fundamental Global Partners Master Fund, LP on July 22, 2021. Such transfers were exempt from Section 16 pursuant to Rule 16a-13. F2 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 2,743,406 shares of common stock, which represents approximately 16.3% of the Company's outstanding shares of common stock, as calculated based on public filings made by the Company with the Securities and Exchange Commission. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of common stock that are directly owned by BKTH, FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of common stock disclosed as directly owned by BKTH, FGGM, FGHP, and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. In addition, Mr. Moglia holds 845,813 shares of common stock indirectly through trusts, Moglia Capital, LLC and the Moglia Family Foundation. Mr. Cerminara directly holds 15,062 shares of common stock and 24,505 restricted stock units, which were received as director compensation. Mr. Johnson directly holds 39,567 shares of common stock. In addition, each of Messrs. Cerminara and Johnson holds stock options to purchase 10,000 and 5,000 shares of common stock, respectively. Read SEC document |
| May 26, 2021 Filed May 28, 2021 18:26 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | SaleCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 5,296 | $8.10 | $42,871.12 |
DisclosureSEC source: 0001420506-21-000816 · doc4_931.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION FUND, LTD. Disclosed balance after: 0 F6 · shares: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock. F4 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| May 26, 2021 Filed May 28, 2021 18:26 UTC | FG Communities Holdings Inc. FGF · Entity 7310 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 5,296 | $8.10 | $42,871.12 |
DisclosureSEC source: 0001420506-21-000816 · doc4_931.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · 10% owner BK Technologies Corp · CIK 0000002186 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP Disclosed balance after: 8,296 F6 · shares: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,045,593 shares of Common Stock (including 100,000 shares that may be acquired pursuant to a call option), which represent approximately 60.8% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI"), FGI 1347 Holdings, LP ("FGIH"), Fundamental Global Capital Appreciation Fund, LP ("FGCA") and Ballantyne Strong, Inc. ("BTN"). Mr. Cerminara holds 11,162 shares of Common Stock and restricted stock units representing the right to receive 20,987 shares of Common Stock upon vesting. In addition, Mr. Johnson holds 32,149 shares of Common Stock. F4 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGAA, FGGM, FAFI, FGIH and FGCA and the shares of Preferred Stock disclosed as directly owned by FGPM and FGCA. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| May 26, 2021 Filed May 28, 2021 14:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | SaleCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 34,911 | $5.19 | $181,188.09 |
DisclosureSEC source: 0001420506-21-000813 · doc4_930.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION FUND, LTD. Disclosed balance after: 0 F3 · shares: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F4 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. Read SEC document |
| May 26, 2021 Filed May 28, 2021 14:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 34,911 | $5.19 | $181,188.09 |
DisclosureSEC source: 0001420506-21-000813 · doc4_930.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL CAPITAL APPRECIATION FUND, LP Disclosed balance after: 59,211 F3 · shares: Represents a cross-trade between FGAA and FGCA, in which FGAA disposed of and FGCA acquired the reported shares. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 28.2% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. F4 · balance_after: Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. Read SEC document |
| December 04, 2020 Filed Dec 7, 2020 11:56 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 258 | $2.17 | $561.00 |
DisclosureSEC source: 0001420506-20-001358 · doc4_889.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 270,123 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.16 and $2.20 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 587,384 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 04, 2020 Filed Dec 7, 2020 11:56 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 437 | $2.17 | $950.21 |
DisclosureSEC source: 0001420506-20-001358 · doc4_889.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,188,243 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.16 and $2.20 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 587,384 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 11:56 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 2,701 | $2.09 | $5,649.95 |
DisclosureSEC source: 0001420506-20-001358 · doc4_889.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 269,865 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.06 and $2.14 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 587,384 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 11:56 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 5,015 | $2.09 | $10,490.38 |
DisclosureSEC source: 0001420506-20-001358 · doc4_889.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,187,806 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.06 and $2.14 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,164,787 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 587,384 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 02, 2020 Filed Dec 2, 2020 18:32 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 3,834 | $2.01 | $7,712.86 |
DisclosureSEC source: 0001420506-20-001356 · doc4_888.xml · nonDerivative · entry 6 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 267,164 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.98 and $2.04 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,156,376 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 592,599 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 02, 2020 Filed Dec 2, 2020 18:32 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 7,119 | $2.01 | $14,321.29 |
DisclosureSEC source: 0001420506-20-001356 · doc4_888.xml · nonDerivative · entry 5 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,182,791 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.98 and $2.04 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,156,376 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 592,599 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 01, 2020 Filed Dec 2, 2020 18:32 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,916 | $1.96 | $3,746.35 |
DisclosureSEC source: 0001420506-20-001356 · doc4_888.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 263,330 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.86 and $2.02 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,156,376 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 592,599 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| December 01, 2020 Filed Dec 2, 2020 18:32 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 3,559 | $1.96 | $6,958.91 |
DisclosureSEC source: 0001420506-20-001356 · doc4_888.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,175,672 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.86 and $2.02 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,156,376 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 592,599 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 30, 2020 Filed Dec 2, 2020 18:32 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,930 | $1.88 | $3,621.65 |
DisclosureSEC source: 0001420506-20-001356 · doc4_888.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 261,414 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.80 and $1.95 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,156,376 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 592,599 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 30, 2020 Filed Dec 2, 2020 18:32 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 3,584 | $1.88 | $6,725.38 |
DisclosureSEC source: 0001420506-20-001356 · doc4_888.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,172,113 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.80 and $1.95 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,156,376 shares of Common Stock, which represents approximately 34.9% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 592,599 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.0% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 27, 2020 Filed Nov 30, 2020 11:37 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,280 | $1.95 | $2,496.64 |
DisclosureSEC source: 0001420506-20-001354 · doc4_887.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 259,484 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.93 and $1.96 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,134,434 shares of Common Stock, which represents approximately 34.7% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 27, 2020 Filed Nov 30, 2020 11:37 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 2,376 | $1.95 | $4,634.39 |
DisclosureSEC source: 0001420506-20-001354 · doc4_887.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,168,529 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.93 and $1.96 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,134,434 shares of Common Stock, which represents approximately 34.7% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 25, 2020 Filed Nov 25, 2020 18:16 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 766 | $1.90 | $1,453.41 |
DisclosureSEC source: 0001420506-20-001350 · doc4_886.xml · nonDerivative · entry 6 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 258,204 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.85 and $1.91 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,130,778 shares of Common Stock, which represents approximately 34.7% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 25, 2020 Filed Nov 25, 2020 18:16 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,424 | $1.90 | $2,701.90 |
DisclosureSEC source: 0001420506-20-001350 · doc4_886.xml · nonDerivative · entry 5 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,166,153 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.85 and $1.91 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,130,778 shares of Common Stock, which represents approximately 34.7% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 18:16 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 969 | $1.92 | $1,864.45 |
DisclosureSEC source: 0001420506-20-001350 · doc4_886.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 257,438 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.88 and $1.95 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,130,778 shares of Common Stock, which represents approximately 34.7% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 18:16 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,799 | $1.92 | $3,461.46 |
DisclosureSEC source: 0001420506-20-001350 · doc4_886.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,164,729 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.88 and $1.95 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,130,778 shares of Common Stock, which represents approximately 34.7% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 18:16 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 2,599 | $1.92 | $4,988.52 |
DisclosureSEC source: 0001420506-20-001350 · doc4_886.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 256,469 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.88 and $1.96 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,130,778 shares of Common Stock, which represents approximately 34.7% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 18:16 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 4,824 | $1.92 | $9,259.19 |
DisclosureSEC source: 0001420506-20-001350 · doc4_886.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,162,930 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.88 and $1.96 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,130,778 shares of Common Stock, which represents approximately 34.7% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 16:26 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,103 | $1.85 | $2,045.40 |
DisclosureSEC source: 0001420506-20-001348 · doc4_885.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 253,870 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.80 and $1.89 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,118,397 shares of Common Stock, which represents approximately 34.6% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 16:26 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 2,048 | $1.85 | $3,797.81 |
DisclosureSEC source: 0001420506-20-001348 · doc4_885.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,158,106 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.80 and $1.89 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,118,397 shares of Common Stock, which represents approximately 34.6% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 16:26 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,442 | $1.94 | $2,798.92 |
DisclosureSEC source: 0001420506-20-001348 · doc4_885.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 252,767 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.91 and $1.96 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,118,397 shares of Common Stock, which represents approximately 34.6% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 16:26 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 2,678 | $1.94 | $5,198.00 |
DisclosureSEC source: 0001420506-20-001348 · doc4_885.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,156,058 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.91 and $1.96 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,118,397 shares of Common Stock, which represents approximately 34.6% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 18, 2020 Filed Nov 18, 2020 18:22 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 5,252 | $1.89 | $9,913.68 |
DisclosureSEC source: 0001420506-20-001344 · doc4_884.xml · nonDerivative · entry 6 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 251,325 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.83 and $1.95 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,111,126 shares of Common Stock, which represents approximately 34.6% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 18, 2020 Filed Nov 18, 2020 18:22 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 9,754 | $1.89 | $18,411.65 |
DisclosureSEC source: 0001420506-20-001344 · doc4_884.xml · nonDerivative · entry 5 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,153,380 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.83 and $1.95 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,111,126 shares of Common Stock, which represents approximately 34.6% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 17, 2020 Filed Nov 18, 2020 18:22 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 3,237 | $1.78 | $5,764.13 |
DisclosureSEC source: 0001420506-20-001344 · doc4_884.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FGI GLOBAL ASSET ALLOCATION MASTER FUND, LP Disclosed balance after: 246,073 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.69 and $1.85 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,111,126 shares of Common Stock, which represents approximately 34.6% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 17, 2020 Filed Nov 18, 2020 18:22 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCOMMON STOCK, PAR VALUE $0.01 PER SHARE | 6,012 | $1.78 | $10,705.57 |
DisclosureSEC source: 0001420506-20-001344 · doc4_884.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP Disclosed balance after: 2,143,626 F4 · shares: Shares purchased pursuant to a Rule 10b5-1 trading plan entered into by Fundamental Global Investors, LLC on behalf of the funds managed by it. F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.69 and $1.85 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price. F1 · balance_after: The funds managed by Fundamental Global Investors, LLC beneficially own in the aggregate 5,111,126 shares of Common Stock, which represents approximately 34.6% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Fundamental Global Capital Appreciation Fund, LP ("FGCA"). F2 · balance_after: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 605,431 shares of Common Stock (excluding Messrs. Cerminara's, Johnson's and Moglia's shares held in CWA accounts) for the accounts of individual investors, which represents approximately 4.1% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 636,291 shares of Common Stock directly and through the Moglia Family Foundation and trusts. Messrs. Cerminara and Johnson also hold additional shares of Common Stock. F3 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPM, FGHP, FGAA, FGGM, FAFI and FGCA. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. 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.