Current Report Filing (8-k)
March 13 2019 - 9:24AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
PURSUANT
TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
March
12, 2019
Date
of Report (Date of earliest event reported)
BALLANTYNE
STRONG, INC.
(Exact
name of registrant as specified in its charter)
Delaware
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1-13906
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47-0587703
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(State
or other jurisdiction of
incorporation
or organization)
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(Commission
File
No.)
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(IRS
Employer
Identification
Number)
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11422
Miracle Hills Drive, Suite 300
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Omaha,
Nebraska
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68154
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(Address
of principal executive offices)
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(Zip
Code)
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(402)
453-4444
(Registrant’s
telephone number including area code)
Not
Applicable
(Former
name or former address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General Instruction A.2. below):
[ ]
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company [ ]
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
On
March 12, 2019, Fundamental Global Investors, LLC (“Fundamental Global”), on behalf of the funds managed by it, entered
into, effective as of March 14, 2019, a stock trading plan in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934,
as amended (the “10b5-1 Plan”), for the purchase of up to 1.5 million shares of common stock of Ballantyne Strong,
Inc. (the “Company”). The 10b5-1 Plan becomes effective on April 1, 2019 and will terminate on April 1, 2020 or such
earlier date as set forth in the 10b5-1 Plan. Transactions under the 10b5-1 Plan, if any, will be reported to the Securities and
Exchange Commission in accordance with applicable securities laws, rules and regulations.
D.
Kyle Cerminara, the Chief Executive Officer, Co-Founder and Partner of Fundamental Global, is the Chief Executive Officer and
Chairman of the Company, and Lewis M. Johnson, the President, Co-Founder and Partner of Fundamental Global, is a director of the
Company. Fundamental Global, with its affiliates, is the Company’s largest stockholder.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed
on its behalf by the undersigned hereunto duly authorized.
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BALLANTYNE
STRONG, INC.
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Date:
March 13, 2019
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By:
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/s/
Mark D. Roberson
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Mark
D. Roberson
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Executive
Vice President, Chief Financial Officer
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