Initial Statement of Beneficial Ownership (3)
18 Octubre 2019 - 11:01AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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0.5
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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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1. Name and Address of Reporting Person
*
Fazio Nicholas J |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/2/2018
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3. Issuer Name and Ticker or Trading Symbol
TRANS LUX Corp [TNLX]
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(Last)
(First)
(Middle)
C/O TRANS-LUX CORPORATION, 135 EAST 57TH STREET, 14TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1315789 | I | Director and Executive Officer of Unilumin North America (the holder of these shares) (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Warrant | 11/2/2018 | 11/2/2020 | Common Stock | 5670103 | $0.97 | I | Director and Executive Officer of Unilumin North America (the holder of these warrants) (2) |
Explanation of Responses: |
(1) | As Director and Executive Officer of Unilumin North America (the holder of these shares), Mr. Fazio has voting and dispositive power over
the shares, but does not have a pecuniary interest in these shares. |
(2) | As Director and Executive Officer of Unilumin North America (the holder of these warrants), Mr. Fazio has voting and dispositive power over
the warrants, but does not have a pecuniary interest in these warrants. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fazio Nicholas J C/O TRANS-LUX CORPORATION 135 EAST 57TH STREET, 14TH FLOOR NEW YORK, NY 10022 | X | X |
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Signatures
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Nicholas Fazio | | 10/18/2019 |
**Signature of Reporting Person | Date |
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