UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options (Right to Buy) | Â (2) | 11/22/2025 | Common Stock | 10,000 | $ 4.33 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Burke Ryan M. C/O BALLANTYNE STRONG, INC. 13710 FNB PARKWAY, SUITE 400 OMAHA,, NE 68154 |
 |  |  SVP & CFO |  |
/s/ Ryan M. Burke | 10/03/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Includes 3,750 restricted stock units ("RSUs") granted under the Company's 2010 Long-Term Incentive Plan. RSUs fully vest on August 21, 2018, the fourth anniversary of the grant date, subject to continued employment, with an opportunity for 1,875 RSUs to vest on August 21, 2017 based upon predetermined criteria. Upon vesting, RSUs will be settled in shares of common stock on a one-for-one basis. |
(2) | Stock Options granted under the Company's 2010 Long-Term Incentive Plan on November 22, 2015. Stock Options vest and become exercisable 1/5 each year beginning on the first anniversary of the grant date. |