Form 4 FG Financial Group, Inc. For: Dec 03 Filed by: BK Technologies Corp
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person
*
(Street)
|
2. Issuer Name
and
Ticker or Trading Symbol
FG Financial Group, Inc. [ FGF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
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3. Date of Earliest Transaction
(Month/Day/Year) 12/03/2021 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check
Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 12/03/2021 | S | 1,354 | D | $ 25 (1) | 21,324 (4) (5) | I | FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP | ||
8.00% Cumulative Preferred Stock, Series A, $25.00 par value | 12/06/2021 | S | 2,345 | D | $ 25 | 18,979 (4) (5) | I | FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP | ||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 788,199 (2) (5) | I | FUNDAMENTAL ACTIVIST FUND I, LP | |||||||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 628,875 (2) (5) | I | FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP | |||||||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 477,282 (2) (3) (5) | I | FGI 1347 HOLDINGS, LP | |||||||
COMMON STOCK, PAR VALUE $0.01 PER SHARE | 1,038,409 (2) (5) | I | BALLANTYNE STRONG, INC. |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
CALL OPTION (RIGHT TO BUY) | $ 6 | 04/16/2020 | 04/16/2022 | COMMON STOCK | 50,000 | 50,000 (6) | I | FUNDAMENTAL GLOBAL PARTNERS MASTER FUND, LP | |||||||
CALL OPTION (RIGHT TO BUY) | $ 6 | 04/16/2020 | 04/16/2022 | COMMON STOCK | 50,000 | 50,000 (6) | I | FUNDAMENTAL ACTIVIST FUND I, LP |
FUNDAMENTAL GLOBAL GP, LLC /S/ D. KYLE CERMINARA, CHIEF EXECUTIVE OFFICER | 12/07/2021 | |
** Signature of Reporting Person | Date | |
BALLANTYNE STRONG, INC. /S/ MARK D. ROBERSON, CHIEF EXECUTIVE OFFICER | 12/07/2021 | |
** Signature of Reporting Person | Date | |
BK TECHNOLOGIES CORPORATION /S/ WILLIAM P. KELLY, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 12/07/2021 | |
** Signature of Reporting Person | Date | |
/S/ D. KYLE CERMINARA | 12/07/2021 | |
** Signature of Reporting Person | Date | |
/S/ JOSEPH H. MOGLIA | 12/07/2021 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
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