TNLX SEC Filings - Trans-Lux Corporation- Annual Report, Proxy Statement, Prospectus

Basic Stats

LEI	5493008JY5051036PN38
CIK	99106

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Trans-Lux Corporation

SEC Filings (Chronological Order)

This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.

April 1, 2025	NT 10-K	COMMISSION FILE NUMBER 1-2257 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING COMMISSION FILE NUMBER 1-2257 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: December 31, 2024 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report on Form N-SAR For the Transition Period Ended: Read Instructions (on back page) Before Preparing Form.
November 14, 2024	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 13 – Business Segment Data Note 14 – Subsequent Events Overview Critical Accounting Estimates UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer
November 5, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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 Date of Report (Date of earliest event reported): October 30, 2024 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of inco
August 14, 2024	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 13 – Business Segment Data Note 14 – Subsequent Events Overview Critical Accounting Estimates UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer incor
May 15, 2024	10-Q	Note 1 – Basis of Presentation Note 13 – Business Segment Data Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer inco
April 1, 2024	EX-21	List of Subsidiaries, filed herewith. EXHIBIT 21 SUBSIDIARIES OF THE COMPANY A. As of December 31, 2023, the following are subsidiaries more than 50% owned (included in the consolidated financial statements): Name Jurisdiction of Incorporation Percentage Owned Trans-Lux Canada Ltd. Canada 100% Trans-Lux Commercial Corporation Utah 100 Trans-Lux Display Corporation Delaware 100 Trans-Lux Energy Corporation Connecticut 100 Fairplay Corp
April 1, 2024	10-K	Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TRANS-LUX CORPORATIO
January 16, 2024	SC 13G/A	TNLX / Trans-Lux Corporation / GABELLI EQUITY SERIES FUNDS INC Passive Investment SC 13G/A 1 tlx13g12.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 12)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule
November 9, 2023	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 13 – Business Segment Data Note 14 – Subsequent Events Overview Critical Accounting Estimates UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer
August 11, 2023	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 13 – Business Segment Data Note 14 – Subsequent Events Overview Critical Accounting Estimates UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer incor
May 31, 2023	8-K	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 Date of Report (Date of earliest event reported): May 25, 2023 TRANS-LUX CORPORATIO 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 Date of Report (Date of earliest event reported): May 25, 2023 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Commission (I.R.S. Employer of
May 15, 2023	10-Q	Note 1 – Basis of Presentation Note 13 – Business Segment Data Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer inco
May 3, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Ame UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide
April 21, 2023	8-K	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 Date of Report (Date of earliest event reported): April 21, 2023 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 Date of Report (Date of earliest event reported): April 21, 2023 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incorp
March 31, 2023	EX-21	List of Subsidiaries, filed herewith EXHIBIT 21 SUBSIDIARIES OF THE COMPANY A. As of December 31, 2022, the following are subsidiaries more than 50% owned (included in the consolidated financial statements): Name Jurisdiction of Incorporation Percentage Owned Trans-Lux Canada Ltd. Canada 100% Trans-Lux Commercial Corporation Utah 100 Trans-Lux Display Corporation Delaware 100 Trans-Lux Energy Corporation Connecticut 100 Fairplay Corp
March 31, 2023	EX-10.10	1st Modification Agreement to Loan and Security Agreement with Unilumin USA dated as of March 20, 2023 and effective December 31, 2022 (incorporated by reference to Exhibit 10.10 of Form 10-K filed March 31, 2023). Exhibit 10.10 LOAN AND sECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (this “Agreement”) is made and entered into as of December 31, 2022, by and between Unilumin USA LLC, a Florida limited liability company (“Lender”), and Trans-Lux Corporation, a Delaware corporation, and Fairplay Corporation, an Iowa corporation (Trans-Lux Corporation and Fairplay Corporation each a “Borrower” and jointly,
March 31, 2023	10-K	Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TRANS-LUX CORPORATIO
January 17, 2023	SC 13G/A	TNLX / Trans-Lux Corporation / GABELLI EQUITY SERIES FUNDS INC Passive Investment SC 13G/A 1 tlx13g11.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule
November 10, 2022	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 13 – Business Segment Data Note 14 – Subsequent Events Overview Critical Accounting Estimates UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer
August 11, 2022	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 13 – Business Segment Data Note 14 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer incor
May 16, 2022	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 13 – Business Segment Data Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer inco
April 14, 2022	10-K	Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TRANS-LUX CORPORATIO
April 14, 2022	EX-10.11	Form of stock options granted March 28, 2022 (incorporated by reference to Exhibit 10.1 of Form 10-K filed April 14, 2022). Exhibit 10.11 U.S. Small Business Administration Economic Injury Disaster Loan LOAN AUTHORIZATION AND AGREEMENT Date: 12.10.2021 (Effective Date) On the above date, this Administration (SBA) authorized (under Section 7(b) of the Small Business Act, as amended) a Loan (SBA Loan #2715229105) to Trans-Lux Corporation (Borrower) of 135 East 57th St, 14th Floor New York New York 10022 in the amount of
April 14, 2022	EX-21	List of Subsidiaries, filed herewith. EXHIBIT 21 SUBSIDIARIES OF THE COMPANY A. As of December 31, 2021, the following are subsidiaries more than 50% owned (included in the consolidated financial statements): Name Jurisdiction of Incorporation Percentage Owned Trans-Lux Canada Ltd. Canada 100% Trans-Lux Commercial Corporation Utah 100 Trans-Lux Display Corporation Delaware 100 Trans-Lux Energy Corporation Connecticut 100 Fairplay Corp
April 14, 2022	EX-10.12	Form of stock options granted March 28, 2022 (filed herewith). Exhibit 10.12 Trans-Lux Corporation Inc. STOCK OPTION AGREEMENT Trans-Lux Corporation Inc. (the ?Company?) hereby grants the following stock option. The terms and conditions attached hereto are also a part hereof. Notice of Grant Name of optionee (the ?Participant?) [] Grant Date: December [], 2021 Incentive Stock Option or Nonstatutory Stock Option: It is the intention of the Company that the Opt
April 1, 2022	NT 10-K	COMMISSION FILE NUMBER 1-2257 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING COMMISSION FILE NUMBER 1-2257 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2021 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form N-SAR For the Transition Period Ended: Read Instructions (on back page) Before Preparing Form.
January 11, 2022	SC 13G/A	TNLX / Trans-Lux Corporation / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this
November 12, 2021	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 13 – Business Segment Data Note 14 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer
August 13, 2021	EX-10.2	Assignment Without Recourse of Loan Agreement with MidCap Business Credit LLC to Unilumin USA dated as of July 30, 2021 (incorporated by reference to Exhibit 10.2 of Form 10-Q filed August 13, 2021). Exhibit 10.2 ASSIGNMENT WITHOUT RECOURSE FOR GOOD AND VALUABLE CONSIDERATION this 30th day of July 2021, the receipt and sufficiency of which are acknowledged, MidCap Business Credit LLC, a Texas limited liability company with offices located at 433 South Main Street, West Hartford, Connecticut (hereinafter "Lender") hereby assigns and transfers to Unilumin USA LLC, a Florida limited liability com
August 13, 2021	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 13 – Business Segment Data Note 14 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer incor
August 13, 2021	EX-10.1	Modification Agreement to the Loan Agreement with MidCap Business Credit LLC dated as of May 31, 2021, filed herewith. Exhibit 10.1 FORBEARANCE AGREEMENT THIS AGREEMENT is made as of May 31, 2021 by and among MidCap Business Credit LLC, a Texas limited liability company ("Lender"), Trans-Lux Corporation, a Delaware corporation ("Trans-Lux"), Fairplay Corporation, an Iowa corporation ("Fairplay", and together with Trans-Lux the "Borrowers" and each a "Borrower"), together with guarantors Trans-Lux Canada Ltd., a Ca
May 14, 2021	10-Q	Note 1 – Basis of Presentation Note 12 – Related Party Transactions Note 14 – Business Segment Data Note 15 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer inco
April 15, 2021	10-K	Annual Report - FORM 10-K 10-K 1 form10k.htm FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe
April 15, 2021	EX-21	List of Subsidiaries, filed herewith. EXHIBIT 21 SUBSIDIARIES OF THE COMPANY A. As of December 31, 2020, the following are subsidiaries more than 50% owned (included in the consolidated financial statements): Name Jurisdiction of Incorporation Percentage Owned Trans-Lux Canada Ltd. Canada 100% Trans-Lux Commercial Corporation Utah 100 Trans-Lux Display Corporation Delaware 100 Trans-Lux Energy Corporation Connecticut 100 Fairplay Corp
April 15, 2021	EX-10.10	Form of Warrants issued to certain current and former directors (filed herewith). Exhibit 10.10 WARRANT TO PURCHASE SHARES OF THE COMMON STOCK OF TRANS-LUX CORPORATION Issuance Date: December 31, 2020 This Warrant has not been registered under the Securities Act of 1933, as amended (the ?Act?) or any securities laws of the State of New York. This Warrant (and any shares of common stock issued upon exercise thereof, the ?Warrant Shares?) has been acquired for investment (and not
April 1, 2021	NT 10-K	- NT 10-K NT 10-K 1 nt10k.htm NT 10-K COMMISSION FILE NUMBER 1-2257 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2020 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transitio
January 28, 2021	SC 13G/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) (CUSIP Number) Decemb UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
December 21, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K 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 Date of Report (Date of earliest event reported): December 16, 2020 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of inc
December 21, 2020	EX-10	2nd Modification Agreement to Loan and Security Agreement with MidCap Business Credit LLC dated as of December 16, 2020 (incorporated by reference to Exhibit 10.1 of Form 8-K filed December 21, 2020). Exhibit 10.1 SECOND MODIFICATION AGREEMENT AND WAIVER THIS AGREEMENT made as of December 16, 2020 by and among MidCap Business Credit LLC, a Texas limited liability company ("Lender"), Trans-Lux Corporation, a Delaware corporation ("Trans-Lux"), Fairplay Corporation, an Iowa corporation ("Fairplay", and together with Trans-Lux the "Borrowers" and each a "Borrower"), together with guarantors Trans-
November 25, 2020	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 108) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
November 6, 2020	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer
September 21, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders - FORM 8-K 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 Date of Report (Date of earliest event reported): September 17, 2020 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Commission (I.R.S. Emplo
August 25, 2020	DEF 14A	- DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide
August 18, 2020	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer incor
August 17, 2020	10-Q	Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer inco
August 17, 2020	EX-10.4	Warrant issued to Unilumin USA, LLC dated June 4, 2020, filed herewith. Exhibit 10.4 WARRANT TO PURCHASE 500,000 SHARES OF THE COMMON STOCK OF TRANS-LUX CORPORATION Issuance Date: June 4, 2020 This Warrant has not been registered under the Securities Act of 1933, as amended (the “Act”) or any securities laws of the State of New York. This Warrant (and any shares of common stock issued upon exercise thereof, the “Warrant Shares”) has been acquired for investment (and n
August 17, 2020	NT 10-Q	- NT 10-Q COMMISSION FILE NUMBER 1-2257 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: June 30, 2020 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form N-SAR For the Transition Period Ended: Read Instructions (on back page) Before Preparing Form.
July 2, 2020	EX-10.1	Contract Manufacturing Agreement with Craftsmen Industries Inc. dated June 4, 2020 and commenced June 15, 2020 (incorporated by reference to Exhibit 10.1 of Form 8-K filed July 2, 2020). Exhibit 10.1 CONTRACT MANUFACTURING AGREEMENT This Contract Manufacturing Agreement (the “Agreement”) is effective as of June 4, 2020 (“Effective Date”) by and between Trans-Lux Corporation, a corporation formed under the laws of the state of Delaware, and its wholly owned subsidiary, Fairplay Corporation, a company incorporated under the laws of Iowa, and having its head office at 135 East 57th S
July 2, 2020	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits 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 Date of Report (Date of earliest event reported): June 4, 2020 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incorpor
June 9, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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 Date of Report (Date of earliest event reported): June 3, 2020 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incorpor
June 9, 2020	EX-10.1	1st Modification Agreement to Loan and Security Agreement with MidCap Business Credit LLC dated as of June 3, 2020 (incorporated by reference to Exhibit 10.1 of Form 8-K filed June 9, 2020). Exhibit 10.1 MODIFICATION AGREEMENT THIS AGREEMENT made as of June 3, 2020 by and among MidCap Business Credit LLC, a Texas limited liability company ("Lender"), Trans-Lux Corporation, a Delaware corporation ("Trans-Lux"), Fairplay Corporation, an Iowa corporation ("Fairplay", and together with Trans-Lux the "Borrowers" and each a "Borrower"), together with guarantors Trans-Lux Canada Ltd., a Cana
May 15, 2020	8-K	Other Events 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 Date of Report (Date of earliest event reported): May 15, 2020 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incorpor
May 4, 2020	EX-10.1	Loan note with Enterprise Bank and Trust dated as of April 20, 2020 (incorporated by reference to Exhibit 10.1 of Form 8-K filed May 4, 2020). Exhibit 10.1 U.S. Small Business Administration NOTE SBA Loan # 1259977203 SBA Loan Name TRANSLUX CORPORATION Date 4/20/2020 Loan Amount 810,800.00 Interest Rate 1.00% Borrower TRANSLUX CORPORATION Operating Company Lender Enterprise Bank & Trust 1. PROMISE TO PAY In return for the Loan, Borrower promises to pay to the order of Lender the amount of eight hundred ten thousand and eight hundred Doll
May 4, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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 Date of Report (Date of earliest event reported): April 23, 2020 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incorp
April 16, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 Date of Report (Date of earliest event reported): April 14, 2020 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incorp
April 16, 2020	EX-99.1	FOR IMMEDIATE RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Nick Fazio Interim CEO [email protected] 732.904.2037 TRANS-LUX APPOINTS FAZIO INTERIM CEO New York, NY (April 16, 2020) – Trans-Lux Corporation (OTC: TNLX) Board Chairman Salvatore J. Zizza announced today that CEO Alberto Shaio has resigned from the Company effective April 14, 2020. Nicholas J. Fazio was appointed to serve as Interim CEO. Mr. Fazio
March 20, 2020	10-K	TNLX / Trans-Lux Corp. 10-K - Annual Report - FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TRANS-LUX CORPORATIO
March 20, 2020	EX-4	Description of the Company’s securities registered pursuant to section 12 of the Securities Exchange Act on 1934. EXHIBIT 4(c) DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Trans-Lux Corporation (“Trans-Lux,” “we” or “our”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): its common stock, par value $0.
March 20, 2020	EX-21	List of Subsidiaries, filed herewith EXHIBIT 21 SUBSIDIARIES OF THE COMPANY A. As of December 31, 2019, the following are subsidiaries more than 50% owned (included in the consolidated financial statements): Name Jurisdiction of Incorporation Percentage Owned Trans-Lux Canada Ltd. Canada 100% Trans-Lux Commercial Corporation Utah 100 Trans-Lux Display Corporation Delaware 100 Trans-Lux Energy Corporation Connecticut 100 Fairplay Corp
January 21, 2020	SC 13G/A	TNLX / Trans-Lux Corp. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
November 8, 2019	10-Q	TNLX / Trans-Lux Corp. 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer
September 20, 2019	EX-10.1	Loan and Security Agreement with MidCap Business Credit LLC dated as of September 16, 2019 (incorporated by reference to Exhibit 10.1 of Form 8-K filed September 20, 2019). Exhibit 10.1 MIDCAP BUSINESS CREDIT LLC LOAN AND SECURITY AGREEMENT (ALL ASSETS) THIS LOAN AND SECURITY AGREEMENT (ALL ASSETS) (as amended, modified, restated or supplemented, this "Agreement"), is entered into as of September 16, 2019, by and among MidCap Business Credit LLC, a Texas limited liability company, the secured party hereunder ("Lender"), Trans-Lux Corporation, a Delaware corporation (
September 20, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events 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 Date of Report (Date of earliest event reported): September 16, 2019 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of in
August 14, 2019	10-Q	TNLX / Trans-Lux Corp. 10-Q - Quarterly Report - FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer incor
August 2, 2019	8-K	Submission of Matters to a Vote of Security Holders 8-K 1 form8k.htm FORM 8-K 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 Date of Report (Date of earliest event reported): July 30, 2019 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Com
July 9, 2019	DEF 14A	TNLX / Trans-Lux Corp. DEF 14A - - DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide
May 15, 2019	10-Q	TNLX / Trans-Lux Corp. 10-Q Quarterly Report FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer inco
April 15, 2019	EX-21	SUBSIDIARIES OF THE COMPANY EXHIBIT 21 SUBSIDIARIES OF THE COMPANY A. As of December 31, 2018, the following are subsidiaries more than 50% owned (included in the consolidated financial statements): Name Jurisdiction of Incorporation Percentage Owned Trans-Lux Canada Ltd. Canada 100% Trans-Lux Commercial Corporation Utah 100 Trans-Lux Display Corporation Delaware 100 Trans-Lux Energy Corporation Connecticut 100 Fairplay Corp
April 15, 2019	SC 13D/A	TNLX / Trans-Lux Corp. / Unilumin North America, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Trans-Lux Corporation (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 893247304 (CUSIP Number) Unilumin North
April 15, 2019	10-K	TNLX / Trans-Lux Corp. FORM 10-K (Annual Report) 10-K 1 form10k.htm FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe
April 12, 2019	8-K	Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events 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 Date of Report (Date of earliest event reported): April 5, 2019 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission File N
April 12, 2019	EX-99.1	FOR IMMEDIATE RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Alberto Shaio President & CEO [email protected] 212.897.2224 TRANS-LUX CORPORATION COMPLETES SIGNIFICANT INVESTMENTS FROM UNILUMIN NORTH AMERICA AND GAMCO INVESTORS NEW YORK, April 12, 2019 – Trans-Lux Corporation (OTCQB: TNLX) (“Trans-Lux” or the “Company”) – a global leader in designing, selling, leasing and maintaining multi-color, real-time data a
April 12, 2019	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 107) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
April 1, 2019	NT 10-K	TNLX / Trans-Lux Corp. NT 10-K COMMISSION FILE NUMBER 1-2257 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [ ] Form N-CSR For Period Ended: December 31, 2018 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form N-SAR For the Transition Period Ended: Read Instructions (on back page) Before Preparing Form.
March 18, 2019	SC 13D	TNLX / Trans-Lux Corp. / Unilumin North America, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 TRANS-LUX CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 893247304 (CUSIP Number) Unilumin North A
March 18, 2019	EX-99.1	Joint Filing Agreement Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(f) under the Securities and Exchange Act of 1934, the persons or entities named below agree to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the Shares of the Issuer and further agree that this joint filing agreement be included as an exhibit to this Schedule
March 11, 2019	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 106) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
March 6, 2019	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events 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 Date of Report (Date of earliest event reported): March 4, 2019 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incorpo
March 6, 2019	EX-10.1	1 FairPlay Corporation \| Trans-Lux Corporation 135 East 57 Street, 14th floor, New York City, NY 10022 Exhibit 10.1 March 4, 2019 Unilumin North America, Inc. 254 West 31st Street, 12th Floor New York, NY 10001 Attention: Nicholas Fazio, Chief Executive Officer Dear Mr. Fazio: Reference is hereby made to that certain Securities Purchase Agreement between the Trans-Lux Corporation (the “Company”) and Unilumin North America, Inc. (the “Warrant Holder”), dated as of November 2, 2018 (the “Purchase Agr
March 6, 2019	EX-10.2	FORBEARANCE AGREEMENT TO CREDIT AND SECURITY AGREEMENT Exhibit 10.2 FORBEARANCE AGREEMENT TO CREDIT AND SECURITY AGREEMENT THIS FORBEARANCE AGREEMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of March 1, 2019, and effective as of February 28, 2019, is made and entered into by and among CNH FINANCE FUND I, L.P., a Delaware limited partnership (formerly known as SCM Specialty Finance Opportunities Fund, L.P.) (“Lender”), and TRANS-LU
March 1, 2019	424B3	TRANS-LUX CORPORATION SUBSCRIPTION RIGHTS TO PURCHASE UP TO 2,500,000 SHARES OF COMMON STOCK AT $1.00 PER SHARE AND THE SHARES OF COMMON STOCK ISSUABLE UPON THE EXERCISE OF SUCH SUBSCRIPTION RIGHTS 424B3 1 form424b3.htm FORM 424B3 Filed Pursuant to Rule 424(b)(3) Registration No. 333-228695 Prospectus Supplement No. 1 (to Prospectus dated February 5, 2019) TRANS-LUX CORPORATION SUBSCRIPTION RIGHTS TO PURCHASE UP TO 2,500,000 SHARES OF COMMON STOCK AT $1.00 PER SHARE AND THE SHARES OF COMMON STOCK ISSUABLE UPON THE EXERCISE OF SUCH SUBSCRIPTION RIGHTS This prospectus supplement no. 1 suppleme
March 1, 2019	EX-99.1	Trans-Lux Corporation Rights Offering Subscription Period Extended to Friday, April 5, 2019 Exhibit 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Alberto Shaio President & CEO [email protected] 212.897.2224 Trans-Lux Corporation Rights Offering Subscription Period Extended to Friday, April 5, 2019 NEW YORK, NY (March 1, 2019) – Trans-Lux Corporation (OTC Pink: TNLX) (“Trans-Lux”), a leading supplier of digital displays and next generation LED lighting, today announced that it has e
March 1, 2019	8-K	Regulation FD Disclosure, Financial Statements and Exhibits 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 Date of Report (Date of earliest event reported): March 1, 2019 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incorpo
February 25, 2019	8-K	Financial Statements and Exhibits, Other Events 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 Date of Report (Date of earliest event reported): February 25, 2019 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of inc
February 25, 2019	EX-99.1	Trans-Lux Corporation Announces Extension of Rights Offering Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Alberto Shaio President & CEO [email protected] 212.897.2224 Trans-Lux Corporation Announces Extension of Rights Offering NEW YORK, NY (February 25, 2019) – Trans-Lux Corporation (OTC Pink: TNLX) (“Trans-Lux”), a leading supplier of digital displays and next generation LED lighting, today announced that it has extended the expiration date of its previ
February 21, 2019	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 105) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
February 5, 2019	424B3	TRANS-LUX CORPORATION 2,500,000 Subscription Rights to Purchase Shares of Common Stock at $1.00 per Share 2,500,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-228695 PROSPECTUS TRANS-LUX CORPORATION 2,500,000 Subscription Rights to Purchase Shares of Common Stock at $1.00 per Share 2,500,000 Shares of Common Stock Trans-Lux Corporation is distributing, at no charge, to holders of our common stock non-transferable subscription rights to purchase up to 2,500,000 shares of our common stock, $0.001 par v
February 4, 2019	EX-3.2	TRANS-LUX CORPORATION AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS SERIES B CONVERTIBLE PREFERRED STOCK (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Exhibit 3.2 TRANS-LUX CORPORATION AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS OF SERIES B CONVERTIBLE PREFERRED STOCK (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) TRANS-LUX CORPORATION (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware (the “DGCL”), in accordance with the provisions of Secti
February 4, 2019	EX-3.1	Amendment to Amended and Restated Certificate of Incorporation of the registrant (incorporated by reference to Exhibit 3.1 of Form 8-K filed February 9, 2019). Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRANS-LUX CORPORATION Trans-Lux Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: FIRST: That resolutions were duly adopted by the Board of Directors of the Corporation setting forth th
February 4, 2019	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders 8-K 1 form8k.htm FORM 8-K 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 Date of Report (Date of earliest event reported): January 28, 2019 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commis
January 22, 2019	SC 13G/A	TNLX / Trans-Lux Corp. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
January 15, 2019	EX-99.4	TRANS-LUX CORPORATION LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Exhibit 99.4 TRANS-LUX CORPORATION LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Enclosed for your consideration is a prospectus, dated February 5, 2019 (the “Prospectus”) relating to a rights offering by Trans-Lux Corporation (the “Company”) to subscribe for shares of the Company’s common stock, par valu
January 15, 2019	EX-99.7	NOTICE OF GUARANTEED DELIVERY SUBSCRIPTION RIGHTS CERTIFICATES Issued by TRANS-LUX CORPORATION Exhibit 99.7 NOTICE OF GUARANTEED DELIVERY for SUBSCRIPTION RIGHTS CERTIFICATES Issued by TRANS-LUX CORPORATION This form must be used to exercise the non-transferable subscription rights (the “Rights”) to purchase shares of common stock, par value $0.001 per share (the “Common Stock”), of Trans-Lux Corporation (the “Company”), pursuant to the rights offering (the “Rights Offering”) described in t
January 15, 2019	EX-99.1	INSTRUCTIONS FOR USE OF TRANS-LUX CORPORATION SUBSCRIPTION RIGHTS CERTIFICATE PLEASE CONTACT MORROW SODALI LLC, OUR INFORMATION AGENT, WITH ANY QUESTIONS BY EMAIL AT TNLX @MORROWSODALI.COM, OR BY TELEPHONE AT (800) 662-5200; BANK AND BROKERAGE FIRMS Exhibit 99.1 INSTRUCTIONS FOR USE OF TRANS-LUX CORPORATION SUBSCRIPTION RIGHTS CERTIFICATE PLEASE CONTACT MORROW SODALI LLC, OUR INFORMATION AGENT, WITH ANY QUESTIONS BY EMAIL AT TNLX @MORROWSODALI.COM, OR BY TELEPHONE AT (800) 662-5200; BANK AND BROKERAGE FIRMS MAY CONTACT MORROW SODALI LLC AT (203) 658-9400 The following instructions relate to the distribution by Trans-Lux Corporation (the “Comp
January 15, 2019	EX-99.2	TRANS-LUX CORPORATION LETTER TO REGISTERED HOLDERS OF COMMON SHARES Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Exhibit 99.2 TRANS-LUX CORPORATION LETTER TO REGISTERED HOLDERS OF COMMON SHARES Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Enclosed for your consideration is a prospectus dated February 5, 2019 (the “Prospectus”) relating to a rights offering by Trans-Lux Corporation (the “Company”) to subscribe for shares of the Company’s Common Stock, par value $0.001 p
January 15, 2019	EX-99.5	TRANS-LUX CORPORATION BENEFICIAL OWNER ELECTION FORM Exhibit 99.5 TRANS-LUX CORPORATION BENEFICIAL OWNER ELECTION FORM The undersigned acknowledge(s) receipt of your letter and the materials referred to therein relating to the distribution of non-transferable subscription rights (the “Rights”) to purchase shares of common stock (the “Common Stock”), par value $0.001 per share, of Trans-Lux Corporation (the “Company”). This will instruct you whether
January 15, 2019	EX-4.4	Trans-Lux Corporation Incorporated under the laws of the State of Delaware NON-TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATE Exhibit 4.4 RIGHTS CERTIFICATE #: NUMBER OF RIGHTS: THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY’S PROSPECTUS DATED FEBRUARY 22 , 2019 (THE “PROSPECTUS”) AND ARE INCORPORATED HEREIN BY REFERENCE.COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM MORROW SODALI LLC, THE INFORMATION AGENT FOR THE RIGHTS OFFERING. Trans-Lux Corporation Incorporated under the laws
January 15, 2019	S-1/A	TNLX / Trans-Lux Corp. FORM S-1/A As filed with the Securities and Exchange Commission on January 15 , 2019 Registration No.
January 15, 2019	EX-99.6	TRANS-LUX CORPORATION NOMINEE HOLDER CERTIFICATION Exhibit 99.6 TRANS-LUX CORPORATION NOMINEE HOLDER CERTIFICATION The undersigned, a bank, broker, trustee, depositary or other nominee holding non-transferable subscription rights (the “Rights”) to purchase shares of common stock, par value $0.001 per share (the “Common Stock”), of Trans-Lux Corporation (the “Company”) pursuant to the rights offering (the “Rights Offering”) described in the Company
January 15, 2019	EX-99.3	TRANS-LUX CORPORATION LETTER TO BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Exhibit 99.3 TRANS-LUX CORPORATION LETTER TO BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights This letter is being distributed to broker-dealers, trust companies, banks and other nominees in connection with a rights offering by Trans-Lux Corporation (the “Company”) to subscribe for shares of the Company’s common stock, par value
January 9, 2019	EX-3.3	CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TRANS-LUX CORPORATION Exhibit 3.3 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRANS-LUX CORPORATION Trans-Lux Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: FIRST: That resolutions were duly adopted by the Board of Directors of the Corporation setting forth th
January 9, 2019	EX-99.3	TRANS-LUX CORPORATION LETTER TO BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights EX-99.3 9 exhibit993.htm EXHIBIT 99.3 Exhibit 99.3 TRANS-LUX CORPORATION LETTER TO BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights This letter is being distributed to broker-dealers, trust companies, banks and other nominees in connection with a rights offering by Trans-Lux Corporation (the “Company”) to subscribe for shares of
January 9, 2019	EX-99.2	TRANS-LUX CORPORATION LETTER TO REGISTERED HOLDERS OF COMMON SHARES Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights EX-99.2 8 exhibit992.htm EXHIBIT 99.2 Exhibit 99.2 TRANS-LUX CORPORATION LETTER TO REGISTERED HOLDERS OF COMMON SHARES Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Enclosed for your consideration is a prospectus dated January 30, 2019 (the “Prospectus”) relating to a rights offering by Trans-Lux Corporation (the “Company”) to subscribe for shares of the Comp
January 9, 2019	EX-99.4	TRANS-LUX CORPORATION LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Exhibit 99.4 TRANS-LUX CORPORATION LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Enclosed for your consideration is a prospectus, dated January 30, 2019 (the “Prospectus”) relating to a rights offering by Trans-Lux Corporation (the “Company”) to subscribe for shares of the Company’s common stock, par valu
January 9, 2019	EX-4.4	Trans-Lux Corporation Incorporated under the laws of the State of Delaware NON-TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATE Exhibit 4.4 RIGHTS CERTIFICATE #: NUMBER OF RIGHTS: THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY’S PROSPECTUS DATED JANUARY 30, 2019 (THE “PROSPECTUS”) AND ARE INCORPORATED HEREIN BY REFERENCE.COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM MORROW SODALI LLC, THE INFORMATION AGENT FOR THE RIGHTS OFFERING. Trans-Lux Corporation Incorporated under the laws of
January 9, 2019	S-1/A	TNLX / Trans-Lux Corp. FORM S-1/A As filed with the Securities and Exchange Commission on January 9, 2019 Registration No.
January 9, 2019	EX-3.6	TRANS-LUX CORPORATION AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS SERIES B CONVERTIBLE PREFERRED STOCK (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Exhibit 3.6 TRANS-LUX CORPORATION AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS OF SERIES B CONVERTIBLE PREFERRED STOCK (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) TRANS-LUX CORPORATION (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware (the “DGCL”), in accordance with the provisions of Secti
January 9, 2019	EX-99.5	TRANS-LUX CORPORATION BENEFICIAL OWNER ELECTION FORM Exhibit 99.5 TRANS-LUX CORPORATION BENEFICIAL OWNER ELECTION FORM The undersigned acknowledge(s) receipt of your letter and the materials referred to therein relating to the distribution of non-transferable subscription rights (the “Rights”) to purchase shares of common stock (the “Common Stock”), par value $0.001 per share, of Trans-Lux Corporation (the “Company”). This will instruct you whether
January 9, 2019	EX-99.6	TRANS-LUX CORPORATION NOMINEE HOLDER CERTIFICATION Exhibit 99.6 TRANS-LUX CORPORATION NOMINEE HOLDER CERTIFICATION The undersigned, a bank, broker, trustee, depositary or other nominee holding non-transferable subscription rights (the “Rights”) to purchase shares of common stock, par value $0.001 per share (the “Common Stock”), of Trans-Lux Corporation (the “Company”) pursuant to the rights offering (the “Rights Offering”) described in the Company
January 9, 2019	EX-99.7	NOTICE OF GUARANTEED DELIVERY SUBSCRIPTION RIGHTS CERTIFICATES Issued by TRANS-LUX CORPORATION EX-99.7 13 exhibit997.htm EXHIBIT 99.7 Exhibit 99.7 NOTICE OF GUARANTEED DELIVERY for SUBSCRIPTION RIGHTS CERTIFICATES Issued by TRANS-LUX CORPORATION This form must be used to exercise the non-transferable subscription rights (the “Rights”) to purchase shares of common stock, par value $0.001 per share (the “Common Stock”), of Trans-Lux Corporation (the “Company”), pursuant to the rights offering
January 9, 2019	EX-99.1	INSTRUCTIONS FOR USE OF TRANS-LUX CORPORATION SUBSCRIPTION RIGHTS CERTIFICATE PLEASE CONTACT MORROW SODALI LLC, OUR INFORMATION AGENT, WITH ANY QUESTIONS BY EMAIL AT TNLX @MORROWSODALI.COM, OR BY TELEPHONE AT (800) 662-5200; BANK AND BROKERAGE FIRMS Exhibit 99.1 INSTRUCTIONS FOR USE OF TRANS-LUX CORPORATION SUBSCRIPTION RIGHTS CERTIFICATE PLEASE CONTACT MORROW SODALI LLC, OUR INFORMATION AGENT, WITH ANY QUESTIONS BY EMAIL AT TNLX @MORROWSODALI.COM, OR BY TELEPHONE AT (800) 662-5200; BANK AND BROKERAGE FIRMS MAY CONTACT MORROW SODALI LLC AT (203) 658-9400 The following instructions relate to the distribution by Trans-Lux Corporation (the “Comp
January 7, 2019	DEF 14C	TNLX / Trans-Lux Corp. DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ¨ Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) þ Definitive Information Statement Trans-Lux Corporation (Name of Regis
December 7, 2018	PRE 14C	TNLX / Trans-Lux Corp. PRE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: þ Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ¨ Definitive Information Statement Trans-Lux Corporation (Name of Regis
December 6, 2018	EX-99.1	1. Method of Exercising Rights. 2. Execution. 3. Issuance of Shares of Common Stock. 4. Commissions, Fees, and Expenses. 5. Delivery of Rights through the Depository Trust Company (“DTC”). 6. Determinations Regarding the Exercise of Your Rights. 7. F FORM OF INSTRUCTIONS FOR USE OF TRANS-LUX CORPORATION SUBSCRIPTION RIGHTS CERTIFICATE PLEASE CONTACT MORROW SODALI LLC, OUR INFORMATION AGENT, WITH ANY QUESTIONS BY EMAIL AT tnlx @morrowSODALI.
December 6, 2018	EX-99.4	TRANS-LUX CORPORATION FORM OF LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights TRANS-LUX CORPORATION FORM OF LETTER TO CLIENTS OF BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Enclosed for your consideration is a prospectus, dated [●] (the “Prospectus”) relating to a rights offering by Trans-Lux Corporation (the “Company”) to subscribe for shares of the Company’s common stock, par value $0.
December 6, 2018	EX-99.5	TRANS-LUX CORPORATION FORM OF BENEFICIAL OWNER ELECTION FORM TRANS-LUX CORPORATION FORM OF BENEFICIAL OWNER ELECTION FORM The undersigned acknowledge(s) receipt of your letter and the materials referred to therein relating to the distribution of non-transferable subscription rights (the “Rights”) to purchase shares of common stock (the “Common Stock”), par value $0.
December 6, 2018	S-1	TNLX / Trans-Lux Corp. FORM S-1 As filed with the Securities and Exchange Commission on December 6, 2018 Registration No.
December 6, 2018	EX-4.3	Trans-Lux Corporation Incorporated under the laws of the State of Delaware NON-TRANSFERABLE SUBSCRIPTION RIGHTS CERTIFICATE RIGHTS CERTIFICATE #: NUMBER OF RIGHTS: THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY’S PROSPECTUS DATED [●](THE “PROSPECTUS”) AND ARE INCORPORATED HEREIN BY REFERENCE.
December 6, 2018	EX-99.2	TRANS-LUX CORPORATION FORM OF LETTER TO REGISTERED HOLDERS OF COMMON SHARES Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights TRANS-LUX CORPORATION FORM OF LETTER TO REGISTERED HOLDERS OF COMMON SHARES Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights Enclosed for your consideration is a prospectus dated [●] (the “Prospectus”) relating to a rights offering by Trans-Lux Corporation (the “Company”) to subscribe for shares of the Company’s Common Stock, par value $0.
December 6, 2018	EX-3.2	CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TRANS-LUX CORPORATION Exhibit 3.2 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF TRANS-LUX CORPORATION Trans-Lux Corporation, a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), DOES HEREBY CERTIFY: FIRST: That resolutions were duly adopted by the Board of Directors of the Corporation setting forth th
December 6, 2018	EX-99.3	TRANS-LUX CORPORATION FORM OF LETTER TO BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights TRANS-LUX CORPORATION FORM OF LETTER TO BROKERS AND OTHER NOMINEE HOLDERS Up to 2,500,000 Shares of Common Stock Issuable Upon Exercise of Subscription Rights This letter is being distributed to broker-dealers, trust companies, banks and other nominees in connection with a rights offering by Trans-Lux Corporation (the “Company”) to subscribe for shares of the Company’s common stock, par value $0.
December 6, 2018	EX-99.6	TRANS-LUX CORPORATION FORM OF NOMINEE HOLDER CERTIFICATION TRANS-LUX CORPORATION FORM OF NOMINEE HOLDER CERTIFICATION The undersigned, a bank, broker, trustee, depositary or other nominee holding non-transferable subscription rights (the “Rights”) to purchase shares of common stock, par value $0.
December 6, 2018	EX-99.7	NOTICE OF GUARANTEED DELIVERY SUBSCRIPTION RIGHTS CERTIFICATES Issued by TRANS-LUX CORPORATION NOTICE OF GUARANTEED DELIVERY for SUBSCRIPTION RIGHTS CERTIFICATES Issued by TRANS-LUX CORPORATION This form must be used to exercise the non-transferable subscription rights (the “Rights”) to purchase shares of common stock, par value $0.
November 26, 2018	8-K/A	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of in
November 13, 2018	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 104) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
November 9, 2018	EX-10.3	1. The Parties acknowledge and agree that Employee voluntarily resigned as President and Chief Executive Officer and Chief Accounting Officer as well as a Director of the Company as of July 16, 2018 (“Separation Date”). Except as required or permitte Exhibit 10.3 AGREEMENT AND RELEASE This Separation Agreement and General Release (this “Agreement”) dated as of July 31, 2018 (the “Effective Date”) is entered into by and between Trans-Lux Corporation, a Delaware corporation (the “Company”) and Jean-Marc Allain (“Employee,” and, together with the Company, the “Parties”). RECITALS WHEREAS, the Parties are subject to an employment agreement dated M
November 9, 2018	10-Q	TNLX / Trans-Lux Corp. FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer
November 9, 2018	EX-10.4	FORBEARANCE AGREEMENT TO CREDIT AND SECURITY AGREEMENT Exhibit 10.4 FORBEARANCE AGREEMENT TO CREDIT AND SECURITY AGREEMENT THIS FORBEARANCE AGREEMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of November 6, 2018, is made and entered into by and among CNH FINANCE FUND I, L.P., a Delaware limited partnership (formerly known as SCM Specialty Finance Opportunities Fund, L.P.) (“Lender”), and TRANS-LUX CORPORATION, a Delaware corporatio
November 8, 2018	EX-10.2	WARRANT TO PURCHASE 5,670,103 SHARES OF THE COMMON STOCK TRANS-LUX CORPORATION Exhibit 10.2 WARRANT TO PURCHASE 5,670,103 SHARES OF THE COMMON STOCK OF TRANS-LUX CORPORATION Issuance Date: November 2, 2018 This Warrant has not been registered under the Securities Act of 1933, as amended (the “Act”) or any securities laws of the State of New York. This Warrant (and any shares of common stock issued upon exercise thereof, the “Warrant Shares”) has been acquired for investment
November 8, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits 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 Date of Report (Date of earliest event reported): November 2, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of inco
November 8, 2018	EX-10.1	SECURITIES PURCHASE AGREEMENT Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (the “Agreement”) is made as of November 2, 2018 by and among Trans-Lux Corporation, a Delaware corporation (the “Company”), and Unilumin North America Inc., a Delaware corporation (the “Purchaser”). RECITALS A. The Company has authorized the sale and issuance of up to 1,315,789 shares of the Company’s common stock, par
October 26, 2018	EX-10.1	1. Employment Period. 2. Duties and Status. 3. Compensation and Benefits. 4. Termination of Employment. 5. Compensation Upon Termination. 6. Restrictive Covenants. 7. Method of Termination. 8. Tax Considerations. 9. Representations. 10. Indemnificat Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (hereinafter referred to as this “Agreement” or the “Employment Agreement”) is made as of the 22nd day of October, 2018, between TRANS-LUX CORPORATION, a Delaware corporation (the “Company”), and TODD DUPEE (the “Employee”). WHEREAS, the parties hereto wish to enter into an employment agreement to employ the Employee as the Senior Vice Pr
October 26, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 Date of Report (Date of earliest event reported): October 22, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of inco
October 4, 2018	EX-10.1	EMPLOYMENT AGREEMENT Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (hereinafter referred to as this “Agreement” or the “Employment Agreement”) is made as of the 1st day of October, 2018, between TRANS-LUX CORPORATION, a Delaware corporation (the “Company”), and ALBERTO SHAIO (the “Employee”). WHEREAS, the parties hereto wish to enter into an employment agreement to employ the Employee as the President an
October 4, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Unregistered Sales of Equity Securities, Financial Statements and Exhibits 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 Date of Report (Date of earliest event reported): September 28, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of in
October 3, 2018	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL - EXHIBIT A Activist Investment begin 644 tlx103.pdf M)5!$1BTQ+C,)>+CS],,2 P(&]B:@H\/ HO0W)E871I;VY$871E("A$.C(P M,3@Q,# S,3 S,#0X+3 T)S P)RD+TUO9$1A=&4@$0Z,C Q.#$P,#,Q,#,P M-#@M,#0G,# G0HO0W)E871O7!E("]83V)J96-T"B]3=6)T>7!E("]);6%G90HO5VED=&@@,C4U, HO2&5I M9VAT(#,S,# +T)I='-097)#;VUP;VYE;G0@,0HO0V]L;W)3<&%C92 O1&5V M:6-E1W)A>0HO1FEL=&5R("]#0TE45$9A>$1E8V]D90HO1&5C;V1E4&%R;7,@ M/#P@+TL@+3$@+T-O;'5M;G,@,C4U," ^/@HO3&5N9W1H(
October 3, 2018	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 103) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
August 23, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 8-K 1 form8k.htm FORM 8-K 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 Date of Report (Date of earliest event reported): August 20, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commiss
August 17, 2018	EX-99.1	FOR IMMEDIATE RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Alberto Shaio President & CEO [email protected] 212.897.2224 TRANS-LUX APPOINTS SHAIO AS PRESIDENT AND CHIEF EXECUTIVE OFFICER, DUPEE AS VICE PRESIDENT AND CHIEF ACCOUNTING OFFICER AND GOMEZ AS VICE PRESIDENT AND CHIEF RELATIONSHIP OFFICER New York, NY (August 16, 2018) – Trans-Lux Corporation (OTC: TNLX) Board Chairman George W. Schiele announced tod
August 17, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 Date of Report (Date of earliest event reported): August 16, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incor
August 14, 2018	10-Q	TNLX / Trans-Lux Corp. FORM 10Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer incor
June 15, 2018	EX-10.2	SUBORDINATED SECURED PROMISSORY NOTE Exhibit 10.2 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR APPLICABLE STATE SECURITIES LAWS. IT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE ACT AND APPLICABLE STATE SECURITIES LAWS OR EVIDENCE REASONABLY SATISFACTORY TO THE MAKER THAT SUCH REGISTRATION IS NOT REQUIRED. TH
June 15, 2018	EX-10.1	THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR APPLICABLE STATE SECURITIES LAWS. IT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER EX-10.1 2 exhibit101.htm EXHIBIT 10.1 Exhibit 10.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR APPLICABLE STATE SECURITIES LAWS. IT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE ACT AND APPLICABLE STATE SECURITIES LAWS OR EVIDENCE REASONABLY SATISFACTORY TO THE MAKER THAT
June 15, 2018	EX-10.3	WAIVER, CONSENT AND NINTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT Exhibit 10.3 WAIVER, CONSENT AND NINTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS WAIVER, CONSENT AND NINTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of June 11, 2018, is made and entered into by and among CNH FINANCE FUND I, L.P. formerly known as SCM Specialty Finance Opportunities Fund, L.P., a Delaware limited partnership (“Lender”) and TRANS-LUX CORPORATION,
June 15, 2018	8-K	Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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 Date of Report (Date of earliest event reported): June 11, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission File N
June 15, 2018	EX-10.4	SUBORDINATION AND INTERCREDITOR AGREEMENT Exhibit 10.4 SUBORDINATION AND INTERCREDITOR AGREEMENT THIS Subordination and Intercreditor Agreement (this “Agreement”) dated as of June 11, 2018 is entered into between CNH FINANCE FUND I, L.P. (formerly known as SCM Specialty Finance Opportunities Fund, L.P.), a Delaware limited partnership (together with its successors and assigns, the “Lender”), SM INVESTORS, L.P. and SM INVESTORS II, L.P., e
May 15, 2018	10-Q	TNLX / Trans-Lux Corp. FORM 10-Q (Quarterly Report) 10-Q 1 form10q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdic
May 8, 2018	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 102) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
April 30, 2018	10-K/A	TNLX / Trans-Lux Corp. FORM 10-K/A (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K/A (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TRANS-LUX CORPORAT
April 26, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 Date of Report (Date of earliest event reported): April 26, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission File
April 26, 2018	EX-99.1	FOR IMMEDIATE RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Alberto Shaio COO & Interim CEO [email protected] 212.897.2224 TRANS-LUX APPOINTS DUPEE INTERIM CAO New York, NY (April 26, 2018) – Trans-Lux Corporation (OTC: TNLX) Board Chairman George W. Schiele announced today that Vice President and Controller Todd Dupee was appointed to serve as Interim Chief Accounting Officer in the absence of Jean-Marc (JM)
April 25, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 Date of Report (Date of earliest event reported): April 24, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission File N
April 25, 2018	EX-99.1	FOR IMMEDIATE RELEASE Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Alberto Shaio COO & Interim CEO [email protected] 212.897.2224 TRANS-LUX APPOINTS SHAIO INTERIM CEO New York, NY (April 24, 2018) – Trans-Lux Corporation (OTC: TNLX) Board Chairman George W. Schiele announced today that CEO Jean-Marc (JM) Allain has been on medical leave following a surgical procedure. In his absence, Chief Operating Officer Alberto S
April 10, 2018	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 101) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
April 3, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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 Date of Report (Date of earliest event reported): March 30, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission File
March 30, 2018	10-K	TNLX / Trans-Lux Corp. FORM 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TRANS-LUX CORPORATIO
March 30, 2018	EX-21	SUBSIDIARIES OF THE COMPANY EXHIBIT 21 SUBSIDIARIES OF THE COMPANY A. As of December 31, 2017, the following are subsidiaries more than 50% owned (included in the consolidated financial statements): Jurisdiction of Percentage Name Incorporation Owned Trans-Lux Canada Ltd. Canada 100% Trans-Lux Commercial Corporation Utah 100 Trans-Lux Display Corporation Delaware 100 Trans-Lux Energy Corporation Connecticut 100 Trans-Lux Mid
March 16, 2018	8-K	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 Date of Report (Date of earliest event reported): March 14, 2018 TRANS-LUX CORPORAT 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 Date of Report (Date of earliest event reported): March 14, 2018 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission File
March 16, 2018	EX-10.1	WAIVER AND EIGHTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT Exhibit 10.1 WAIVER AND EIGHTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS WAIVER AND EIGHTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of March 14, 2018, is made and entered into by and among CNH FINANCE FUND I, L.P. formerly known as SCM Specialty Finance Opportunities Fund, L.P., a Delaware limited partnership (“Lender”) and TRANS-LUX CORPORATION, a Delaware cor
February 13, 2018	SC 13G/A	TNLX / Trans-Lux Corp. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 6)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
November 20, 2017	EX-10.1	SEVENTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT Exhibit 10.1 SEVENTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS SEVENTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of November 16, 2017, is made and entered into by and among SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”) and TRANS-LUX CORPORATION, a Delaware corporation (“Trans-Lux”), TRANS-LUX DISPLAY CORPORATION, a Del
November 20, 2017	8-K	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 Date of Report (Date of earliest event reported): November 16, 2017 TRANS-LUX CORPO 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 Date of Report (Date of earliest event reported): November 16, 2017 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission Fil
November 9, 2017	EX-10.7	SIXTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT Exhibit 10.7 SIXTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS SIXTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of November 9, 2017, is made and entered into by and among SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”) and TRANS-LUX CORPORATION, a Delaware corporation (“Trans-Lux”), TRANS-LUX DISPLAY CORPORATION, a Delaware
November 9, 2017	EX-10.4	CONSENT AND FIFTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT Exhibit 10.4 CONSENT AND FIFTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS CONSENT AND FIFTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of October 10, 2017, is made and entered into by and among SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”) and TRANS-LUX CORPORATION, a Delaware corporation (“Trans-Lux”), TRANS-LUX DISPLAY
November 9, 2017	EX-10.5	Credit Agreement with Carlisle dated as of November 6, 2017 (incorporated by reference to Exhibit 10.5 of Form 10-Q filed November 9, 2017). Exhibit 10.5 CREDIT AGREEMENT between TRANS-LUX CORPORATION, as Borrower and CARLISLE INVESTMENTS INC, as Lender Dated November 6, 2017 CREDIT AGREEMENT, dated November 6, 2017, between TRANS-LUX CORPORATION, having an address at 445 Park Avenue, Suite 2001, New York, New York 10022 (the "Borrower"), and CARLISLE INVESTMENTS INC, with an address at Trident Chambers, Wickhams Cay, P.O. Box 146, Roa
November 9, 2017	10-Q	Note 1 – Basis of Presentation Note 8 – Loss (Earnings) Per Share Note 9 – Contingencies Note 10 – Related Party Transactions Note 11 – Business Segment Data Note 12 – Subsequent Events Overview 10-Q 1 form10Q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other juri
November 9, 2017	EX-10.6	1. Definitions. The following terms, as used in this Agreement, shall have the following meanings: 2. Construction. Unless the context of this Agreement clearly requires otherwise, references to the part include the whole, “including” is not limiting Exhibit 10.6 MUTUAL LIEN INTERCREDITOR AGREEMENT THIS Mutual Lien Intercreditor Agreement (this “Agreement”) dated as of October 10, 2017 is entered into between SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”), and CARLISLE INVESTMENTS INC, a British Virgin Islands company (“Creditor”). RECITALS A. TRANS-LUX CORPORATION (“ Borrower”), currently is, or will
November 3, 2017	CORRESP	Trans-Lux Corporation 445 Park Avenue, Suite 2001 New York, NY 10022 CORRESP November 3, 2017 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.
November 3, 2017	10-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K/A Amendment No. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K/A Amendment No. 2 (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TR
November 3, 2017	10-Q/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 Commission file number 1-2257 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer inc
November 3, 2017	10-Q/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 Commission file number 1-225 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of incorporation or or
October 10, 2017	144	OMB APPROVAL OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response .
September 20, 2017	8-K	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 Date of Report (Date of earliest event reported): September 18, 2017 TRANS-LUX CORP 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 Date of Report (Date of earliest event reported): September 18, 2017 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission
August 31, 2017	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Ame UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confide
August 11, 2017	10-Q	Note 1 – Basis of Presentation Note 8 – Loss Per Share Note 9 – Contingencies Note 10 – Related Party Transactions Note 11 – Business Segment Data Note 12 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer incor
August 2, 2017	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 8-K 1 form8k.htm FORM 8-K 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 Date of Report (Date of earliest event reported): July 28, 2017 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commissio
August 2, 2017	EX-10.2	CONSENT AND FOURTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT EX-10.2 3 exhibit102.htm EXHIBIT 10.2 Exhibit 10.2 CONSENT AND FOURTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS CONSENT AND FOURTH AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of July 28, 2017, is made and entered into by and among SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”) and TRANS-LUX CORPORATION, a Delaware corpora
August 2, 2017	EX-10.1	________________________________________ CREDIT AGREEMENT TRANS-LUX CORPORATION, as Borrower ARNOLD PENNER, as Lender Dated July 28, 2017 EX-10.1 2 exhibit101.htm EXHIBIT 10.1 Exhibit 10.1 CREDIT AGREEMENT between TRANS-LUX CORPORATION, as Borrower and ARNOLD PENNER, as Lender Dated July 28, 2017 CREDIT AGREEMENT, dated July 28, 2017, between TRANS-LUX CORPORATION, having an address at 445 Park Avenue, Suite 2001, New York, New York 10022 (the "Borrower"), and ARNOLD PENNER, an individual, his successors and/or assigns, with an addr
August 2, 2017	EX-10.3	2. Construction. Unless the context of this Agreement clearly requires otherwise, references to the part include the whole, “including” is not limiting, and “or” has the inclusive meaning represented by the phrase “and/or.” The words “hereof,” “herei EX-10.3 4 exhibit103.htm EXHIBIT 10. Exhibit 10.3 MUTUAL LIEN INTERCREDITOR AGREEMENT THIS Mutual Lien Intercreditor Agreement (this “Agreement”) dated as of July 28, 2017 is entered into between SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”), and ARNOLD PENNER, an individual (“Creditor”). RECITALS A. TRANS-LUX CORPORATION (“Borrower”), currently is, or w
May 12, 2017	10-Q	Note 1 – Basis of Presentation Table of Contents Note 8 – Loss Per Share Note 9 – Contingencies Table of Contents Note 10 – Related Party Transactions Note 11 – Business Segment Data Note 12 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer inco
May 1, 2017	10-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K/A Amendment No. 1 (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 or [ ] TRANS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K/A Amendment No. 1 (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TR
March 29, 2017	8-K	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 Date of Report (Date of earliest event reported): March 28, 2017 TRANS-LUX CORPORAT 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 Date of Report (Date of earliest event reported): March 28, 2017 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Commission (I.R.S. Employer
March 29, 2017	EX-10.1	THIRD AMENDMENT TO CREDIT AND SECURITY AGREEMENT Exhibit 10.1 THIRD AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS THIRD AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of March 28, 2017, is made and entered into by and among SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”) and TRANS-LUX CORPORATION, a Delaware corporation (“Trans-Lux”), TRANS-LUX DISPLAY CORPORATION, a Delaware c
March 24, 2017	EX-21	SUBSIDIARIES OF THE COMPANY EXHIBIT 21 SUBSIDIARIES OF THE COMPANY A. As of December 31, 2016 the following are subsidiaries more than 50% owned (included in the consolidated financial statements): Jurisdiction of Percentage Name Incorporation Owned Trans-Lux Canada Ltd. Canada 100% Trans-Lux Commercial Corporation Utah 100 Trans-Lux Display Corporation Delaware 100 Trans-Lux Experience Corporation New York 100 Trans-Lux Ene
March 24, 2017	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 or [ ] TRANSITION REPORT PURSU UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TRANS-LUX CORPORATIO
March 22, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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 Date of Report (Date of earliest event reported): March 21, 2017 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of incorp
March 22, 2017	EX-99.1	TRANS-LUX REPORTS IMPROVED RESULTS AND POSITIVE EBIDTA Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Jean-Marc Allain President, CEO & CAO [email protected] 212.897.9953 TRANS-LUX REPORTS IMPROVED RESULTS AND POSITIVE EBIDTA New York, NY (March 21, 2017) – Trans-Lux Corporation (OTC: TNLX) (“Trans-Lux” or the “Company”), a leading supplier of Digital Displays and next generation LED lighting, yesterday reported improved financial results for both t
February 17, 2017	8-K	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 Date of Report (Date of earliest event reported): February 14, 2017 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 Date of Report (Date of earliest event reported): February 14, 2017 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction (Commission (IRS Employer of inc
February 17, 2017	EX-10.1	SECOND AMENDMENT TO CREDIT AND SECURITY AGREEMENT Exhibit 10.1 SECOND AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS SECOND AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), dated as of February 14, 2017 and effective as of February 7, 2017, is made and entered into by and among SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”) and TRANS-LUX CORPORATION, a Delaware corporation (“Trans-Lux”), T
January 26, 2017	SC 13G/A	TNLX / Trans-Lux Corp. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
November 10, 2016	EX-99.1	TRANS-LUX REPORTS THIRD QUARTER RESULTS Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Robert J. Conologue Senior Vice President & CFO [email protected] 212.897.2228 TRANS-LUX REPORTS THIRD QUARTER RESULTS New York, NY (November 10, 2016) – Trans-Lux Corporation (OTC: TNLX) (“Trans-Lux” or the “Company”), a leading supplier of Digital Displays and next generation LED lighting, reports the financial results for the third quarter and
November 10, 2016	10-Q	Note 1 – Basis of Presentation Note 8 – Loss Per Share Note 9 – Contingencies Note 10 – Related Party Transactions Note 11 – Business Segment Data Note 12 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer
November 10, 2016	8-K	Current Report 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 Date of Report (Date of earliest event reported): November 10, 2016 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Commission (I.R.S. Employ
September 12, 2016	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 8-K 1 form8k0815000909122016.htm 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 Date of Report (Date of Earliest Event Reported): September 8, 2016 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or Other Jurisdiction
September 12, 2016	EX-10.2	FIRST AMENDMENT TO CREDIT AND SECURITY AGREEMENT EX-10.2 3 ex102to8k0815000909122016.htm Exhibit 10.2 FIRST AMENDMENT TO CREDIT AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO CREDIT AND SECURITY AGREEMENT (this “Agreement”), entered into as of September 8, 2016, is made and entered into by and among SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”) and TRANS-LUX CORPORATION, a Delaware corporation (“Trans-
September 12, 2016	EX-10.3	MUTUAL LIEN INTERCREDITOR AGREEMENT EX-10.3 4 ex103to8k0815000909122016.htm MUTUAL LIEN INTERCREDITOR AGREEMENT THIS Mutual Lien Intercreditor Agreement (this “Agreement”) dated as of September 8, 2016 is entered into between SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P., a Delaware limited partnership (“Lender”), and BFI CAPITAL FUND II, LLC, a Delaware limited liability company (“Creditor”). RECITALS A. TRANS-LUX CORPORATION (“Bo
September 12, 2016	EX-10.1	CREDIT AGREEMENT TRANS-LUX CORPORATION, as Borrower BFI CAPITAL FUND II, LLC, as Lender Dated September 8, 2016 EX-10.1 2 ex101to8k0815000909122016.htm Exhibit 10.1 CREDIT AGREEMENT between TRANS-LUX CORPORATION, as Borrower and BFI CAPITAL FUND II, LLC, as Lender Dated September 8, 2016 CREDIT AGREEMENT, dated September 8, 2016, between TRANS-LUX CORPORATION, having an address at 445 Park Avenue, Suite 2001, New York, New York 10022 (the "Borrower"), and BFI CAPITAL FUND II, LLC, a Delaware limited liabili
August 12, 2016	8-K	Current Report 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 Date of Report (Date of earliest event reported): August 11, 2016 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Commission (I.R.S. Employer
August 12, 2016	EX-10.2	TRADEMARK LICENSING AGREEMENT EX-10.2 2 exhibit102.htm EXHIBIT 10.2 EXHIBIT 10.2 TRADEMARK LICENSING AGREEMENT This Trademark Licensing Agreement (the "Agreement") is made and entered into effective as of June 30, 2016 (the "Effective Date") by and between Trans-Lux Corporation, (the "Licensor"), and Trans-Tech (the "Licensee"). Recitals. WHEREAS, Licensor has adopted, has registered with the United States Patent and Trademark
August 12, 2016	EX-99.1	TRANS-LUX REPORTS POSITIVE NET INCOME AND STRONG EBITDA FOR THE SECOND QUARTER Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Robert J. Conologue Senior Vice President & CFO [email protected] 212.897.2228 TRANS-LUX REPORTS POSITIVE NET INCOME AND STRONG EBITDA FOR THE SECOND QUARTER New York, NY (August 11, 2016) – Trans-Lux Corporation (OTC: TNLX) (“Trans-Lux” or the “Company”), a leading supplier of Digital Displays and next generation LED lighting, reports the financi
August 12, 2016	10-Q	Note 1 – Basis of Presentation Note 8 – Loss Per Share Note 9 – Contingencies Note 10 – Related Party Transactions Note 11 – Business Segment Data Note 12 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer incor
August 12, 2016	8-K	Current Report 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 Date of Report (Date of earliest event reported): August 11, 2016 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Commission (I.R.S. Employer
August 12, 2016	EX-99.1	TRANS-LUX REPORTS POSITIVE NET INCOME AND STRONG EBITDA FOR THE SECOND QUARTER Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Robert J. Conologue Senior Vice President & CFO [email protected] 212.897.2228 TRANS-LUX REPORTS POSITIVE NET INCOME AND STRONG EBITDA FOR THE SECOND QUARTER New York, NY (August 11, 2016) – Trans-Lux Corporation (OTC: TNLX) (“Trans-Lux” or the “Company”), a leading supplier of Digital Displays and next generation LED lighting, reports the financi
July 27, 2016	8-K	Financial Statements and Exhibits, Other Events 8-K 1 form8k0815000507272016.htm 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 Date of Report (Date of earliest event reported): July 15, 2016 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of
July 27, 2016	EX-99.2	Trans-Lux Corporation Announces PBGC’s Release of Lien on its Assets and Comprehensive Credit Agreement EX-99.2 3 ex992to8k0815000507272016.htm Exhibit 99.2 Trans-Lux Corporation Announces PBGC’s Release of Lien on its Assets and Comprehensive Credit Agreement New York, NY, July 25, 2016 – Trans-Lux Corporation (OTC: TNLX), a leading supplier of innovative display and energy efficiency solutions, announced today that the Pension Benefits Guaranty Corporation (“PBGC”) has elected to not refile a gene
July 27, 2016	EX-99.1	Trans-Lux Corporation Announces Results of its Offer to Purchase Outstanding Notes and Debentures EX-99.1 2 ex991to8k0815000507272016.htm Exhibit 99.1 Trans-Lux Corporation Announces Results of its Offer to Purchase Outstanding Notes and Debentures New York, NY, July 25, 2016 – Trans-Lux Corporation (OTC: TNLX), a leading supplier of innovative display and energy efficiency solutions, announced today the final results of its offers to purchase all of its outstanding 8¼% Notes and 9½% Debenture
July 13, 2016	8-K	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 Date of Report (Date of earliest event reported): July 11, 2016 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 Date of Report (Date of earliest event reported): July 11, 2016 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission File N
July 13, 2016	EX-10.1	CREDIT AND SECURITY AGREEMENT by and among TRANS-LUX CORPORATION, TRANS-LUX DISPLAY CORPORATION, TRANS-LUX MIDWEST CORPORATION, TRANS-LUX ENERGY CORPORATION, AND ANY ADDITIONAL ENTITY THAT MAY HEREAFTER BE ADDED AS A BORROWER each a Borrower, and col EX-10.1 2 ex101to8k0815000407132016.htm Exhibit 10.1 CREDIT AND SECURITY AGREEMENT by and among TRANS-LUX CORPORATION, TRANS-LUX DISPLAY CORPORATION, TRANS-LUX MIDWEST CORPORATION, TRANS-LUX ENERGY CORPORATION, AND ANY ADDITIONAL ENTITY THAT MAY HEREAFTER BE ADDED AS A BORROWER each a Borrower, and collectively, the Borrowers and SCM SPECIALTY FINANCE OPPORTUNITIES FUND, L.P. as the Lender Dated a
June 17, 2016	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Ame UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement ¨ Confide
May 27, 2016	PRE 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Ame UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement ¨ Confide
May 13, 2016	10-Q	Note 1 – Basis of Presentation Note 8 – Loss Per Share Note 9 – Contingencies Note 10 – Business Segment Data Note 11 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer inco
April 29, 2016	EX-10.15	Promissory note in favor of Carlisle Investments Inc. (“Carlisle”) (incorporated by reference to Exhibit 10.15 of Form 10-K/A filed April 29, 2016). EX-10.15 3 exhibit1015.htm EXHIBIT 10.15 Exhibit 10.15 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), AND MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE ACT OR AN OPINION OF COUNSEL SATISFACTORY TO BORROWER THAT REGISTRATION IS NOT REQUIRED UNDER THE ACT
April 29, 2016	10-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K/A Amendment No. 1 (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 or [ ] TRANS 10-K/A 1 form10ka.htm FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K/A Amendment No. 1 (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from t
April 29, 2016	EX-10.7	1. Employment Period. 2. Duties and Status. 3. Compensation and Benefits. 4. Termination of Employment. 5. Compensation Upon Termination. 6. Restrictive Covenants. 7. Method of Termination. 8. Tax Considerations. 10. Indemnification. 11. Legal Fees. EX-10.7 2 exhibit107.htm EXHIBIT 10.7 Exhibit 10.7 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (hereinafter referred to as this “Agreement” or the “Employment Agreement”) is made as of the 30th day of March, 2016, between TRANS-LUX CORPORATION, a Delaware corporation (the “Company”), and ALBERTO SHAIO (the “Employee”). WHEREAS, the parties hereto wish to enter into an employment agreement to em
March 30, 2016	EX-99.1	TRANS-LUX REPORTS SIGNIFICANTLY IMPROVED RESULTS AND POSITIVE EBIDTA Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Robert J. Conologue Senior Vice President & CFO [email protected] 212.897.2228 TRANS-LUX REPORTS SIGNIFICANTLY IMPROVED RESULTS AND POSITIVE EBIDTA New York, NY (March 30, 2016) – Trans-Lux Corporation (OTC: TNLX) (“Trans-Lux” or the “Company”), a leading supplier of Digital Displays and next generation LED lighting, yesterday reported significant
March 30, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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 Date of Report (Date of earliest event reported): March 30, 2016 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Commission (I.R.S. Employer
March 29, 2016	EX-10.3	Amended and Restated Pension Plan dated January 1, 2016 (incorporated by reference to Exhibit 10.3 of Form 10-K filed March 29, 2016). EX-10.3 2 exhibit103.htm EXHIBIT 10.3 RETIREMENT PENSION PLAN FOR EMPLOYEES OF TRANS-LUX CORPORATION AND CERTAIN OF ITS SUBSIDIARIES AND/OR AFFILIATES Effective January 1, 1945 As Amended and Restated Effective January 1, 2016 (Most recent determination letter dated July 30, 2012) INDEX INTRODUCTION 1 SECTION I: DEFINITIONS 2-20 SECTION II: ELIGIBILITY 21-23 SECTION III: RETIREMENT DATES 24-25 SEC
March 29, 2016	EX-21	SUBSIDIARIES OF THE COMPANY EXHIBIT 21 SUBSIDIARIES OF THE COMPANY A. As of December 31, 2015 the following are subsidiaries more than 50% owned (included in the consolidated financial statements): Jurisdiction of Incorporation Percentage Owned Name Trans-Lux Canada Ltd. Canada 100% Trans-Lux Commercial Corporation Utah 100 Trans-Lux Display Corporation Delaware 100 Trans-Lux Experience Corporation New York 100 Trans-Lux Ene
March 29, 2016	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 or [ ] TRANSITION REPORT PURSU UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 1-2257 TRANS-LUX CORPORATIO
February 5, 2016	8-K	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 Date of Report (Date of earliest event reported): February 1, 2016 TRANS-LUX CORPOR 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 Date of Report (Date of earliest event reported): February 1, 2016 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Commission (I.R.S. Employe
January 26, 2016	SC 13G/A	TNLX / Trans-Lux Corp. / GABELLI EQUITY SERIES FUNDS INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
December 24, 2015	8-K	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 Date of Report (Date of earliest event reported): December 22, 2015 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 Date of Report (Date of earliest event reported): December 22, 2015 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission Fi
December 24, 2015	EX-99.1	EXCHANGE AGREEMENT Exhibit 99.1 EXCHANGE AGREEMENT This Exchange Agreement is made and entered into as of December [], 2015 (this “Agreement”), by and between Trans-Lux Corporation, a Delaware corporation (the “Company”), and [ ] (the “Holder”). WITNESSETH: WHEREAS, the Holder is the owner of $[ ] principal amount of the Company’s 8¼% Limited Convertible Senior Subordinated Notes Due 2012 (the “Notes”), which were i
December 10, 2015	8-K	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 Date of Report (Date of earliest event reported): December 8, 2015 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 Date of Report (Date of earliest event reported): December 8, 2015 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission Fil
December 10, 2015	8-K	EX 16.1 - LETTER OF BDO USA, LLP DATED DECEMBER 10, 2015
November 23, 2015	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SC 13D/A 1 tlx98.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 98) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address
November 23, 2015	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 100) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
November 23, 2015	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 99) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
November 20, 2015	EX-99.1	Trans-Lux Corporation Announces Completion of Rights Offering Exhibit 99.1 FOR IMMEDIATE RELEASE CONTACT: Robert J. Conologue, Chief Financial Officer Trans-Lux Corporation phone: 212-897-2228 e-mail: [email protected] Trans-Lux Corporation Announces Completion of Rights Offering NEW YORK, NY (November 20, 2015) – Trans-Lux Corporation (OTC Pink: TNLX) (“Trans-Lux”), a leading supplier of Digital Displays and next generation LED lighting, today announ
November 20, 2015	8-K	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 Date of Report (Date of earliest event reported): November 20, 2015 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 Date of Report (Date of earliest event reported): November 20, 2015 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission Fi
November 16, 2015	8-K	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 Date of Report (Date of earliest event reported): November 13, 2015 TRANS-LUX CORPO 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 Date of Report (Date of earliest event reported): November 13, 2015 TRANS-LUX CORPORATION - (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 - (State or other jurisdiction (Commission (I.R.S. Employ
November 16, 2015	EX-99.1	XXX Exhibit 99.1 FOR IMMEDIATE RELEASE Contact: Robert J. Conologue Chief Financial Officer [email protected] 212-897-2228 TRANS-LUX CORPORATION REPORTS PROFITABLE THIRD QUARTER, INCREASED REVENUE AND STRONG EBITDA New York, NY (November 13, 2015) – Trans-Lux Corporation (OTCQB: TNLX) (“Trans-Lux”), a leading supplier of Digital Displays and next generation LED lighting, reported financial resu
November 13, 2015	SC 13D	TNLX / Trans-Lux Corp. / Trans Lux Corp Activist Investment SC 13D 1 sc13d08150tra11122015.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Trans-Lux Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 893247304 (CUSIP Number) Transtech
November 13, 2015	10-Q	Note 1 – Basis of Presentation Note 8 – Income (Loss) Per Common Share Note 9 – Contingencies Note 10 – Business Segment Data Note 11 – Subsequent Events Overview UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 Commission file number 1-2257 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or other jurisdiction of (I.R.S. Employer
November 13, 2015	EX-3	JOINT FILING AGREEMENT Exhibit 3 JOINT FILING AGREEMENT The undersigned acknowledge and agree that the foregoing statement on Schedule 13D, is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D, shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements.
November 5, 2015	EX-99.1	Trans-Lux Corporation Announces Extension of Rights Offering EX-99.1 2 ex991to8k0815000411052015.htm Exhibit 99.1 FOR IMMEDIATE RELEASE CONTACT: Robert J. Conologue, Chief Financial Officer Trans-Lux Corporation phone: 212-897-2228 e-mail: [email protected] Trans-Lux Corporation Announces Extension of Rights Offering NEW YORK, NY (November 5, 2015) – Trans-Lux Corporation (OTC Pink: TNLX) (“Trans-Lux”), a leading supplier of Digital Displays and next
November 5, 2015	8-K	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 Date of Report (Date of earliest event reported): November 5, 2015 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 Date of Report (Date of earliest event reported): November 5, 2015 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission Fil
November 2, 2015	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 97) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
October 14, 2015	424B3	Filed Pursuant to Rule 424(b)(3) Filed Pursuant to Rule 424(b)(3) Registration No. 333-205273 PROSPECTUS TRANS-LUX CORPORATION 1,672,589 Subscription Rights to Purchase Shares of Series B Convertible Preferred Stock at $200.00 per Share 50,684 Shares of Series B Convertible Preferred Stock 1,196,143 Shares of Common Stock Trans-Lux Corporation is distributing, at no charge, to holders of our common stock non-transferable subscrip
October 14, 2015	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events 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 Date of Report (Date of earliest event reported): October 13, 2015 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission Fil
October 14, 2015	EX-3.1	TRANS-LUX CORPORATION CERTIFICATE OF DESIGNATIONS SERIES B CONVERTIBLE PREFERRED STOCK Pursuant to Section 151 of the General Corporation Law of the State of Delaware Exhibit 3.1 TRANS-LUX CORPORATION CERTIFICATE OF DESIGNATIONS OF SERIES B CONVERTIBLE PREFERRED STOCK Pursuant to Section 151 of the General Corporation Law of the State of Delaware The undersigned, J.M. Allain, does hereby certify that: 1. He is the duly elected and acting President and Chief Executive Officer of Trans-Lux Corporation, a Delaware corporation (the “Corporation”). 2. Pursuant to th
October 5, 2015	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 96) Trans-Lux Corporation (Name of Issuer) Common Stock, Par Value $1.00 Per Share (Title of Class of Securities) 893247304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number
October 5, 2015	SC 13D/A	TNLX / Trans-Lux Corp. / GAMCO INVESTORS, INC. ET AL - EXHIBIT A Activist Investment begin 644 tlx96.pdf M)5!$1BTQ+C4-)>+CS],-"CD@,"!O8FH-/#PO3&EN96%R:7IE9" Q+TP@,S@W M-38O3R Q,2]%(#,Q.#DX+TX@,2]4(#,X-#4X+T@@6R T-C8@,30V73X^#65N M9&]B:@T@(" @(" @(" @(" @(" @(" @#0HR,2 P(&]B:@T\/"]$96-O9&50 M87)M7!E+UA2968O5ULQ(#(@,%T^/G-TZ#X8R8&ULM >AU0O)V)P7!E M+T-A=&%L;V<^/@UE;F1O8FH-,3$@,"!O8FH-/#PO0V]N=&5N=',@,C(@,"!2 M+T-R;W!";WA;," P(#8Q,BXP(#%LP(# @-C$R+C @ M-SDR+C!=+U!A7!E+U!A9V4^/@UE M;F1
October 1, 2015	8-K	Other Events 8-K 1 form8k0815000410012015.htm 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 Date of Report (Date of earliest event reported): October 1, 2015 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction o
September 22, 2015	CORRESP	445 Park Avenue, Suite 2001 New York, New York 10022 445 Park Avenue, Suite 2001 New York, New York 10022 September 22, 2015 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.
September 22, 2015	CORRESP	445 Park Avenue, Suite 2001 New York, New York 10022 445 Park Avenue, Suite 2001 New York, New York 10022 September 22, 2015 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.
September 15, 2015	EX-99.1	Trans-Lux Corporation Announces Terms for Rights Offering Exhibit 99.1 FOR IMMEDIATE RELEASE CONTACT: Robert J. Conologue, Chief Financial Officer Trans-Lux Corporation phone: 212-897-2228 e-mail: [email protected] Trans-Lux Corporation Announces Terms for Rights Offering NEW YORK, NY (September 15, 2015) – Trans-Lux Corporation (OTC Pink: TNLX) (“Trans-Lux”), a leading supplier of Digital Displays and next generation LED lighting, today announced
September 15, 2015	8-K	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 Date of Report (Date of earliest event reported): September 15, 2015 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 Date of Report (Date of earliest event reported): September 15, 2015 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 1-2257 13-1394750 (State or other jurisdiction of incorporation) (Commission F
September 15, 2015	S-1/A	As filed with the Securities and Exchange Commission on September 15, 2015 S-1/A 1 s1a40815000409112015.htm As filed with the Securities and Exchange Commission on September 15, 2015 Registration No. 333-205273 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 4 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 TRANS-LUX CORPORATION (Exact name of registrant as specified in its charter) Delaware 13-1394750 (State or o
September 15, 2015	CORRESP	September 15, 2015 O L S H A N PARK AVENUE TOWER ● 65 EAST 55TH STREET ● NEW YORK, NEW YORK 10022 TELEPHONE: 212.

TNLX / Trans-Lux Corporation - SEC Filings, Annual Report, Proxy Statement

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