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 |
|---|---|---|---|---|---|---|
| May 21, 2018 Filed May 21, 2018 22:43 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 20,000 | $7.78 | $155,514.00 |
DisclosureSEC source: 0001144204-18-030131 · tv494720_form4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner RELM WIRELESS CORP · CIK 0000002186 · Group Member 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 1347 Holdings, LP Disclosed balance after: 467,282 F8 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.60 to $7.80. 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 Reporting Persons beneficially own in the aggregate 2,619,362 shares of Common Stock, which represent approximately 43.8% 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: In addition, CWA, of which 50% is owned by Fundamental Global Investors, LLC, holds 64,098 shares of Common Stock for the accounts of individual investors, which represent approximately 1.1% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also each hold 3,333 shares of Common Stock and restricted stock units representing the right to receive 6,666 shares of Common Stock. F3 · balance_after: RELM Wireless Corporation ("RWC") is the sole limited partner of FGIH. Mr. Cerminara is Chairman of the Board of Directors of RWC and Mr. Johnson is also a director of RWC. F5 · 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 and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. 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 18, 2018 Filed May 21, 2018 22:43 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 15,000 | $7.67 | $115,069.50 |
DisclosureSEC source: 0001144204-18-030131 · tv494720_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner RELM WIRELESS CORP · CIK 0000002186 · Group Member 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 1347 Holdings, LP Disclosed balance after: 447,282 F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.45 to $7.75. 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 Reporting Persons beneficially own in the aggregate 2,619,362 shares of Common Stock, which represent approximately 43.8% 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: In addition, CWA, of which 50% is owned by Fundamental Global Investors, LLC, holds 64,098 shares of Common Stock for the accounts of individual investors, which represent approximately 1.1% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also each hold 3,333 shares of Common Stock and restricted stock units representing the right to receive 6,666 shares of Common Stock. F3 · balance_after: RELM Wireless Corporation ("RWC") is the sole limited partner of FGIH. Mr. Cerminara is Chairman of the Board of Directors of RWC and Mr. Johnson is also a director of RWC. F5 · 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 and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. 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 17, 2018 Filed May 21, 2018 22:43 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 7,710 | $7.44 | $57,357.77 |
DisclosureSEC source: 0001144204-18-030131 · tv494720_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner RELM WIRELESS CORP · CIK 0000002186 · Group Member 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 1347 Holdings, LP Disclosed balance after: 432,282 F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.30 to $7.65. 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 Reporting Persons beneficially own in the aggregate 2,619,362 shares of Common Stock, which represent approximately 43.8% 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: In addition, CWA, of which 50% is owned by Fundamental Global Investors, LLC, holds 64,098 shares of Common Stock for the accounts of individual investors, which represent approximately 1.1% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also each hold 3,333 shares of Common Stock and restricted stock units representing the right to receive 6,666 shares of Common Stock. F3 · balance_after: RELM Wireless Corporation ("RWC") is the sole limited partner of FGIH. Mr. Cerminara is Chairman of the Board of Directors of RWC and Mr. Johnson is also a director of RWC. F5 · 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 and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. 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 |
| March 26, 2018 Filed Mar 26, 2018 22:51 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 44 | $25.00 | $1,100.00 |
DisclosureSEC source: 0001144204-18-016968 · tv489534_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner RELM WIRELESS CORP · CIK 0000002186 · Group Member 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 · D. Kyle Cerminara Disclosed balance after: 44 F1 · balance_after: The shares of 8.00% Cumulative Preferred Stock, Series A, $25.00 par value per share (the "Preferred Stock"), were purchased at the public offering price as part of the Company's underwritten public offering of Preferred Stock. The Preferred Stock is non-voting and non-convertible. In addition, for the accounts of individual investors, CWA, of which 50% is owned by Fundamental Global Investors, LLC, also holds 57,060 shares of Preferred Stock, including 44 shares of Preferred Stock held by Mr. Cerminara in a joint account with his spouse. F2 · balance_after: The Reporting Persons beneficially own in the aggregate 34,620 shares of Preferred Stock, which represent approximately 4.9% of the outstanding shares of Preferred Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM. F6 · 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 and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. 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 |
| March 26, 2018 Filed Mar 26, 2018 22:51 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 2,940 | $25.00 | $73,500.00 |
DisclosureSEC source: 0001144204-18-016968 · tv489534_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner RELM WIRELESS CORP · CIK 0000002186 · Group Member 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: 34,620 F1 · balance_after: The shares of 8.00% Cumulative Preferred Stock, Series A, $25.00 par value per share (the "Preferred Stock"), were purchased at the public offering price as part of the Company's underwritten public offering of Preferred Stock. The Preferred Stock is non-voting and non-convertible. In addition, for the accounts of individual investors, CWA, of which 50% is owned by Fundamental Global Investors, LLC, also holds 57,060 shares of Preferred Stock, including 44 shares of Preferred Stock held by Mr. Cerminara in a joint account with his spouse. F2 · balance_after: The Reporting Persons beneficially own in the aggregate 34,620 shares of Preferred Stock, which represent approximately 4.9% of the outstanding shares of Preferred Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Preferred Stock that are directly owned by FGPM. F6 · 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 and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. 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 |
| March 15, 2018 Filed Mar 19, 2018 17:03 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 424,572 | $7.85 | $3,332,890.20 |
DisclosureSEC source: 0001144204-18-015509 · tv488848_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner RELM WIRELESS CORP · CIK 0000002186 · Group Member 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 1347 Holdings, LP Disclosed balance after: 424,572 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,576,652 shares of Common Stock, which represent approximately 43.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners Master Fund, LP ("FGPM"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: RELM Wireless Corporation ("RWC") is the sole limited partner of FGIH. Mr. Cerminara is Chairman of the Board of Directors of RWC and Mr. Johnson is also a director of RWC. F3 · balance_after: CWA, of which 50% is owned by Fundamental Global Investors, LLC, holds 63,898 shares of Common Stock for the accounts of individual investors, which represent approximately 1.1% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also each hold 3,333 shares of Common Stock and restricted stock units representing the right to receive 6,666 shares of Common Stock. F5 · 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 and FGIH and the shares of Preferred Stock disclosed as directly owned by FGPM. 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 |
| March 08, 2018 Filed Mar 12, 2018 16:13 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | SaleCommon Stock | 10,000 | $60.00 | $600,000.00 |
DisclosureSEC source: 0001173431-18-000045 · wf-form4_152088559581191.xml · nonDerivative · entry 1 MOGLIA JOSEPH H · CIK 0001187586 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,000 F1 · price: This price represents the weighted average sales price for multiple transactions reported on this line. All prices of the transactions reported on this line were $60.00. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares and prices at which transactions were effected. Read SEC document |
| February 28, 2018 Filed Mar 1, 2018 17:25 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | Purchase8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 31,680 | $25.00 | $792,000.00 |
DisclosureSEC source: 0001144204-18-012324 · tv487363_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners Master Fund, LP Disclosed balance after: 31,680 F1 · balance_after: The shares of 8.00% Cumulative Preferred Stock, Series A, $25.00 par value per share (the "Preferred Stock"), were purchased in connection with an underwritten public offering by the Issuer at the public offering price. The Preferred Stock is non-voting and non-convertible. The Reporting Persons beneficially own in the aggregate 31,680 shares of Preferred Stock, which represent approximately 5.0% of the outstanding shares of Preferred 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 and FAFI and the shares of Preferred Stock disclosed as directly owned by FGPM. 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 |
| January 25, 2018 Filed Jan 29, 2018 17:21 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | SaleCommon Stock | 10,000 | $55.28 | $552,800.00 |
DisclosureSEC source: 0001173431-18-000004 · wf-form4_151726446499923.xml · nonDerivative · entry 1 MOGLIA JOSEPH H · CIK 0001187586 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,000 F1 · price: This price represents the weighted average sales price for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $55.15 to $55.40. Upon request by the SEC staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares and prices at which transactions were effected. Read SEC document |
| January 01, 2018 Filed Jan 4, 2018 00:41 UTC | BK Technologies Corp RWC · Entity 6049 | OtherCommon Stock, par value $0.60 per share | 585,749 | $3.55 | $2,079,408.95 |
DisclosureSEC source: 0001144204-18-000635 · tv482482_form4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners Master Fund, LP Disclosed balance after: 1,137,886 F4 · kind: Transfer in connection with FGPP becoming a feeder fund to FGPM. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,479,927 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), Fundamental Activist Fund I, LP ("FAFI") and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,013,130 shares of Common Stock for accounts of individual investors, which represent approximately 7.3% of the Company's outstanding shares of Common Stock. F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM, FGHP and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Mr. Moglia holds 356,876 shares of Common Stock directly and through the Moglia Family Foundation. Read SEC document |
| January 01, 2018 Filed Jan 4, 2018 00:41 UTC | BK Technologies Corp RWC · Entity 6049 | OtherCommon Stock, par value $0.60 per share | 585,749 | $3.55 | $2,079,408.95 |
DisclosureSEC source: 0001144204-18-000635 · tv482482_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 0 F4 · kind: Transfer in connection with FGPP becoming a feeder fund to FGPM. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,479,927 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), Fundamental Activist Fund I, LP ("FAFI") and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,013,130 shares of Common Stock for accounts of individual investors, which represent approximately 7.3% of the Company's outstanding shares of Common Stock. F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM, FGHP and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Mr. Moglia holds 356,876 shares of Common Stock directly and through the Moglia Family Foundation. Read SEC document |
| January 01, 2018 Filed Jan 4, 2018 00:41 UTC | BK Technologies Corp RWC · Entity 6049 | OtherCommon Stock, par value $0.60 per share | 4,696 | $3.55 | $16,670.80 |
DisclosureSEC source: 0001144204-18-000635 · tv482482_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 4,696 F3 · kind: Investor contributions in-kind. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 3,479,927 shares of Common Stock, which represent approximately 25.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Global Holdings, LP ("FGHP"), Fundamental Activist Fund I, LP ("FAFI") and Ballantyne Strong, Inc. ("BTN"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,013,130 shares of Common Stock for accounts of individual investors, which represent approximately 7.3% of the Company's outstanding shares of Common Stock. F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGGM, FGHP and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Mr. Moglia holds 356,876 shares of Common Stock directly and through the Moglia Family Foundation. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 19:40 UTC | FG Group Holdings Inc. BTN · Entity 93668 | OtherCommon Stock, par value $0.01 per share | 382,844 | $4.65 | $1,780,224.60 |
DisclosureSEC source: 0001144204-18-000634 · tv482481_form4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners Master Fund, LP Disclosed balance after: 734,858 F5 · kind: Transfer in connection with FGPP becoming a feeder fund to FGPM. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,470,714 shares of Common Stock, which represents approximately 17.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 944,960 shares of Common Stock for the accounts of individual investors, which represents approximately 6.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 384,039 shares of Common Stock directly and through the Moglia Family Foundation. 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 FGPP, FGPM, FGHP, FGAA, FGGM and FAFI. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 19:40 UTC | FG Group Holdings Inc. BTN · Entity 93668 | OtherCommon Stock, par value $0.01 per share | 382,844 | $4.65 | $1,780,224.60 |
DisclosureSEC source: 0001144204-18-000634 · tv482481_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 0 F5 · kind: Transfer in connection with FGPP becoming a feeder fund to FGPM. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,470,714 shares of Common Stock, which represents approximately 17.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 944,960 shares of Common Stock for the accounts of individual investors, which represents approximately 6.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 384,039 shares of Common Stock directly and through the Moglia Family Foundation. 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 FGPP, FGPM, FGHP, FGAA, FGGM and FAFI. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 19:40 UTC | FG Group Holdings Inc. BTN · Entity 93668 | OtherCommon Stock, par value $0.01 per share | 13,403 | $4.65 | $62,323.95 |
DisclosureSEC source: 0001144204-18-000634 · tv482481_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 781,587 F4 · kind: Investor contributions in-kind. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,470,714 shares of Common Stock, which represents approximately 17.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 944,960 shares of Common Stock for the accounts of individual investors, which represents approximately 6.6% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 384,039 shares of Common Stock directly and through the Moglia Family Foundation. 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 FGPP, FGPM, FGHP, FGAA, FGGM and FAFI. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 19:39 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | OtherCommon Stock, $0.001 par value | 207,769 | $7.25 | $1,506,304.47 |
DisclosureSEC source: 0001144204-18-000633 · tv482480_form4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners Master Fund, LP Disclosed balance after: 403,156 F5 · kind: Transfer in connection with FGPP becoming a feeder fund to FGPM. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,152,080 shares of Common Stock, which represent approximately 36.0% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 63,898 shares of Common Stock for the accounts of individual investors, which represent approximately 1.1% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 19:39 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | OtherCommon Stock, $0.001 par value | 207,769 | $7.25 | $1,506,304.47 |
DisclosureSEC source: 0001144204-18-000633 · tv482480_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 0 F5 · kind: Transfer in connection with FGPP becoming a feeder fund to FGPM. Accordingly, there was no change in the aggregate beneficial ownership of the Reporting Persons. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,152,080 shares of Common Stock, which represent approximately 36.0% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 63,898 shares of Common Stock for the accounts of individual investors, which represent approximately 1.1% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 19:39 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | OtherCommon Stock, $0.001 par value | 2,000 | $7.25 | $14,499.80 |
DisclosureSEC source: 0001144204-18-000633 · tv482480_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 700,687 F4 · kind: Investor contributions in-kind. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,152,080 shares of Common Stock, which represent approximately 36.0% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 63,898 shares of Common Stock for the accounts of individual investors, which represent approximately 1.1% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 01, 2017 Filed Nov 2, 2017 18:13 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 69,747 | $7.85 | $547,513.95 |
DisclosureSEC source: 0001144204-17-055930 · tv478426_form4.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners Master Fund, LP Disclosed balance after: 195,387 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,150,080 shares of Common Stock, which represent approximately 36.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 01, 2017 Filed Nov 2, 2017 18:13 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 74,022 | $7.85 | $581,072.70 |
DisclosureSEC source: 0001144204-17-055930 · tv478426_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 207,769 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,150,080 shares of Common Stock, which represent approximately 36.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| November 01, 2017 Filed Nov 2, 2017 18:13 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 331,659 | $7.85 | $2,603,523.15 |
DisclosureSEC source: 0001144204-17-055930 · tv478426_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 698,687 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,150,080 shares of Common Stock, which represent approximately 36.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM"), Fundamental Activist Fund I, LP ("FAFI") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| September 15, 2017 Filed Sep 18, 2017 16:38 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 43,256 | $6.12 | $264,925.70 |
DisclosureSEC source: 0001654954-17-008518 · section16.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · RELM Wireless Corporation Disclosed balance after: 1,466,647 F1 · balance_after: 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 · 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 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. Read SEC document |
| September 15, 2017 Filed Sep 18, 2017 16:38 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 34,383 | $6.12 | $210,582.12 |
DisclosureSEC source: 0001654954-17-008518 · section16.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 143,368 F1 · balance_after: 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 · 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 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. Read SEC document |
| September 15, 2017 Filed Sep 18, 2017 16:38 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 33,273 | $6.12 | $203,783.82 |
DisclosureSEC source: 0001654954-17-008518 · section16.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other 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: 136,728 F1 · balance_after: 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 · 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 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. Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 01:24 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 7,524 | $6.32 | $47,546.41 |
DisclosureSEC source: 0001654954-17-008479 · section16.xml · nonDerivative · entry 9 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · RELM Wireless Corporation Disclosed balance after: 1,509,903 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,857,655 shares of Common Stock, which represent approximately 5.7% 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 · 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 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. Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 01:24 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 5,981 | $6.32 | $37,795.73 |
DisclosureSEC source: 0001654954-17-008479 · section16.xml · nonDerivative · entry 8 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 177,751 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,857,655 shares of Common Stock, which represent approximately 5.7% 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 · 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 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. Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 01:24 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 5,788 | $6.32 | $36,576.11 |
DisclosureSEC source: 0001654954-17-008479 · section16.xml · nonDerivative · entry 7 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other 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: 170,001 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,857,655 shares of Common Stock, which represent approximately 5.7% 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 · 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 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. Read SEC document |
| September 14, 2017 Filed Sep 18, 2017 16:06 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | SaleCommon Stock | 15,000 | $44.66 | $669,900.00 |
DisclosureSEC source: 0001173431-17-000140 · wf-form4_150576514734298.xml · nonDerivative · entry 1 MOGLIA JOSEPH H · CIK 0001187586 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,000 Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 01:24 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 16,579 | $6.31 | $104,593.60 |
DisclosureSEC source: 0001654954-17-008479 · section16.xml · nonDerivative · entry 6 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · RELM Wireless Corporation Disclosed balance after: 1,517,427 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,857,655 shares of Common Stock, which represent approximately 5.7% 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 · 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 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. Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 01:24 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 13,178 | $6.31 | $83,137.37 |
DisclosureSEC source: 0001654954-17-008479 · section16.xml · nonDerivative · entry 5 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 183,732 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,857,655 shares of Common Stock, which represent approximately 5.7% 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 · 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 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. Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 01:24 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 12,753 | $6.31 | $80,456.13 |
DisclosureSEC source: 0001654954-17-008479 · section16.xml · nonDerivative · entry 4 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other 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: 175,789 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,857,655 shares of Common Stock, which represent approximately 5.7% 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 · 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 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. Read SEC document |
| September 12, 2017 Filed Sep 15, 2017 01:24 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 80,922 | $6.31 | $510,731.11 |
DisclosureSEC source: 0001654954-17-008479 · section16.xml · nonDerivative · entry 3 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · RELM Wireless Corporation Disclosed balance after: 1,534,006 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,857,655 shares of Common Stock, which represent approximately 5.7% 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 · 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 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. Read SEC document |
| September 12, 2017 Filed Sep 15, 2017 01:24 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 64,321 | $6.31 | $405,955.56 |
DisclosureSEC source: 0001654954-17-008479 · section16.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 196,910 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,857,655 shares of Common Stock, which represent approximately 5.7% 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 · 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 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. Read SEC document |
| September 12, 2017 Filed Sep 15, 2017 01:24 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 62,247 | $6.31 | $392,865.72 |
DisclosureSEC source: 0001654954-17-008479 · section16.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Other Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Other MOGLIA JOSEPH H · CIK 0001187586 · Other 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: 188,542 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,857,655 shares of Common Stock, which represent approximately 5.7% 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 · 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 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. Read SEC document |
| August 31, 2017 Filed Sep 1, 2017 15:23 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 17,525 | $6.59 | $115,488.00 |
DisclosureSEC source: 0001144204-17-046371 · v474559_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 768,184 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,457,311 shares of Common Stock, which represents approximately 17.0% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,185,477 shares of Common Stock for the accounts of individual investors, which represents approximately 8.2% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 384,039 shares of Common Stock directly and through the Moglia Family Foundation. 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 FGPP, FGPM, FGHP, FGAA, FGGM and FAFI. Read SEC document |
| August 30, 2017 Filed Sep 1, 2017 15:23 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 15,738 | $6.41 | $100,916.78 |
DisclosureSEC source: 0001144204-17-046371 · v474559_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 750,659 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,457,311 shares of Common Stock, which represents approximately 17.0% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,185,477 shares of Common Stock for the accounts of individual investors, which represents approximately 8.2% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 384,039 shares of Common Stock directly and through the Moglia Family Foundation. 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 FGPP, FGPM, FGHP, FGAA, FGGM and FAFI. Read SEC document |
| August 24, 2017 Filed Aug 24, 2017 20:23 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 39,500 | $8.09 | $319,515.50 |
DisclosureSEC source: 0001144204-17-045059 · v474027_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 367,028 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,674,652 shares of Common Stock, which represent approximately 28.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| August 22, 2017 Filed Aug 24, 2017 20:23 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 10,000 | $8.09 | $80,893.00 |
DisclosureSEC source: 0001144204-17-045059 · v474027_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 327,528 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,674,652 shares of Common Stock, which represent approximately 28.1% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 20:17 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 9,356 | $8.17 | $76,456.30 |
DisclosureSEC source: 0001144204-17-044473 · v473743_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 317,528 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,625,152 shares of Common Stock, which represent approximately 27.3% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| August 17, 2017 Filed Aug 21, 2017 20:17 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 25,224 | $8.01 | $201,966.05 |
DisclosureSEC source: 0001144204-17-044473 · v473743_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 308,172 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,625,152 shares of Common Stock, which represent approximately 27.3% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| August 16, 2017 Filed Aug 17, 2017 15:26 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 43,936 | $7.78 | $341,743.00 |
DisclosureSEC source: 0001144204-17-043853 · v473590_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 282,948 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,590,572 shares of Common Stock, which represent approximately 26.7% 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, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 15:26 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | PurchaseCommon Stock, $0.001 par value | 6,135 | $7.35 | $45,078.75 |
DisclosureSEC source: 0001144204-17-043853 · v473590_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 239,012 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 1,590,572 shares of Common Stock, which represent approximately 26.7% 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, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Messrs. Cerminara and Johnson also hold shares of Common Stock. F3 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 18:03 UTC | FG Group Holdings Inc. BTN · Entity 93668 | PurchaseCommon Stock, par value $0.01 per share | 100,000 | $5.87 | $586,850.00 |
DisclosureSEC source: 0001144204-17-043291 · v473279_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 734,921 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,424,048 shares of Common Stock, which represents approximately 16.8% 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, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Activist Fund I, LP ("FAFI"). F2 · balance_after: CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 1,104,340 shares of Common Stock for the accounts of individual investors, which represents approximately 7.7% of the Company's outstanding shares of Common Stock. Mr. Moglia holds 336,451 shares of Common Stock directly and through the Moglia Family Foundation. 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 FGPP, FGPM, FGHP, FGAA, FGGM and FAFI. Read SEC document |
| July 17, 2017 Filed Jul 19, 2017 15:29 UTC | FG Group Holdings Inc. BTN · Entity 93668 | OtherCommon Stock, par value $0.01 per share | 634,921 | $6.75 | $4,285,716.75 |
DisclosureSEC source: 0001144204-17-037288 · v470990_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 634,921 F3 · kind: Deemed distribution from FGPP to The Moglia Family Foundation and The Moglia Family Trust and deemed contribution from The Moglia Family Foundation and The Moglia Family Trust to FAFI. 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 2,324,048 shares of Common Stock, which represents approximately 16.3% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Activist Fund I, LP ("FAFI"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 900,422 shares of Common Stock for the accounts of individual investors, which represents approximately 6.3% of the Company's outstanding shares of Common Stock. F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGHP, FGAA, FGGM and FAFI. Read SEC document |
| July 17, 2017 Filed Jul 19, 2017 15:29 UTC | FG Group Holdings Inc. BTN · Entity 93668 | OtherCommon Stock, par value $0.01 per share | 634,921 | $6.30 | $4,000,002.30 |
DisclosureSEC source: 0001144204-17-037288 · v470990_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · CEO & Chairman · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 382,844 F3 · kind: Deemed distribution from FGPP to The Moglia Family Foundation and The Moglia Family Trust and deemed contribution from The Moglia Family Foundation and The Moglia Family Trust to FAFI. 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 2,324,048 shares of Common Stock, which represents approximately 16.3% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), Fundamental Global Partners Master Fund, LP ("FGPM"), Fundamental Global Holdings, LP ("FGHP"), FGI Global Asset Allocation Fund, Ltd. ("FGAA"), FGI Global Asset Allocation Master Fund, LP ("FGGM") and Fundamental Activist Fund I, LP ("FAFI"). In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 900,422 shares of Common Stock for the accounts of individual investors, which represents approximately 6.3% of the Company's outstanding shares of Common Stock. F2 · balance_after: Due to their positions with Fundamental Global Investors, LLC and affiliated entities, Messrs. D. Kyle Cerminara, Lewis M. Johnson and Joseph H. Moglia may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by FGPP, FGPM, FGHP, FGAA, FGGM and FAFI. Read SEC document |
| July 17, 2017 Filed Jul 19, 2017 15:21 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | OtherCommon Stock, $0.001 par value | 232,877 | $7.80 | $1,816,440.60 |
DisclosureSEC source: 0001144204-17-037285 · v470993_form4.xml · nonDerivative · entry 2 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Activist Fund I, LP Disclosed balance after: 232,877 F3 · kind: Deemed distribution from FGPP to The Moglia Family Foundation and The Moglia Family Trust and deemed contribution from The Moglia Family Foundation and The Moglia Family Trust to FAFI. 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 1,540,501 shares of Common Stock, which represent approximately 25.9% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| July 17, 2017 Filed Jul 19, 2017 15:21 UTC | FG Communities Holdings Inc. PIH · Entity 7310 | OtherCommon Stock, $0.001 par value | 232,877 | $7.30 | $1,700,002.10 |
DisclosureSEC source: 0001144204-17-037285 · v470993_form4.xml · nonDerivative · entry 1 Fundamental Global Investors, LLC · CIK 0001591508 · Director · 10% owner BALLANTYNE STRONG, INC. · CIK 0000946454 · Director · 10% owner Cerminara Kyle · CIK 0001619991 · Director · 10% owner Johnson Lewis M · CIK 0001619951 · Director · 10% owner MOGLIA JOSEPH H · CIK 0001187586 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners, LP Disclosed balance after: 133,747 F3 · kind: Deemed distribution from FGPP to The Moglia Family Foundation and The Moglia Family Trust and deemed contribution from The Moglia Family Foundation and The Moglia Family Trust to FAFI. 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 1,540,501 shares of Common Stock, which represent approximately 25.9% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 30,498 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% of the Company's outstanding shares of Common Stock. Fundamental Global Investors, LLC may be deemed to be a beneficial owner of the shares of Common Stock that are directly owned by Fundamental Global Partners, LP ("FGPP"), 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") and Ballantyne Strong, Inc. ("BTN"). F2 · 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 FGPP, FGPM, FGAA, FGGM and FAFI. Due to their positions with BTN, Fundamental Global Investors, LLC and affiliated entities, Messrs. Cerminara and Johnson may be deemed to be beneficial owners of the shares of Common Stock disclosed as directly owned by BTN. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 16:16 UTC | TD AMERITRADE HOLDING CORP AMTD · Entity 146076 | SaleCommon Stock | 10,000 | $40.45 | $404,500.00 |
DisclosureSEC source: 0001173431-17-000100 · wf-form4_149790337990669.xml · nonDerivative · entry 1 MOGLIA JOSEPH H · CIK 0001187586 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,000 Read SEC document |
| June 14, 2017 Filed Jun 14, 2017 21:19 UTC | ITERIS, INC. ITI · Entity 86402 | OtherCommon Stock, par value $0.10 per share | 88,028 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001144204-17-032582 · v468962_4.xml · nonDerivative · entry 7 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Director Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Group Member MOGLIA JOSEPH H · CIK 0001187586 · Group Member Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Fundamental Global Partners Master Fund, LP Disclosed balance after: 250,789 F3 · kind: Withdrawal and redemption in-kind from FGPM to a limited partner. F3 · price: Withdrawal and redemption in-kind from FGPM to a limited partner. F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,126,948 shares of Common Stock, which represent approximately 6.5% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC holds 16,050 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% 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 in full on March 3, 2018, subject to continued service. 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 · 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 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. Read SEC document |
| June 13, 2017 Filed Jun 14, 2017 21:19 UTC | ITERIS, INC. ITI · Entity 86402 | SaleCommon Stock, par value $0.10 per share | 27,421 | $5.47 | $149,992.87 |
DisclosureSEC source: 0001144204-17-032582 · v468962_4.xml · nonDerivative · entry 6 Fundamental Global Investors, LLC · CIK 0001591508 · Director RELM WIRELESS CORP · CIK 0000002186 · Director Cerminara Kyle · CIK 0001619991 · Director Johnson Lewis M · CIK 0001619951 · Group Member MOGLIA JOSEPH H · CIK 0001187586 · Group Member Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · RELM Wireless Corporation Disclosed balance after: 1,614,928 F1 · balance_after: The Reporting Persons beneficially own in the aggregate 2,126,948 shares of Common Stock, which represent approximately 6.5% of the Company's outstanding shares of Common Stock. In addition, CWA Asset Management Group, LLC holds 16,050 shares of Common Stock for the accounts of individual investors, which represent approximately 0.5% 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 in full on March 3, 2018, subject to continued service. 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 · 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 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. 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.