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JRVR

James River Group Holdings, Inc.

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6368
SEC CIK
0001620459
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389

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 05, 2025 Filed Mar 7, 2025 16:38 UTC
Miller Jeanette LSVP, Chief Legal Officer
GrantCommon Shares 36,684 $0.00 $0.00
Disclosure

SEC source: 0001620459-25-000039 · wk-form4_1741383485.xml · nonDerivative · entry 1

Miller Jeanette L · CIK 0001894317 · SVP, Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,520

F1 · shares: Grant of restricted share units (payable solely in common shares of the Issuer on each vesting date), vesting in three equal annual installments on March 5 of each of the years 2026 through 2028.

Read SEC document
March 05, 2025 Filed Mar 7, 2025 16:52 UTC GrantCommon Shares 13,586 $0.00 $0.00
Disclosure

SEC source: 0001620459-25-000050 · wk-form4_1741384346.xml · nonDerivative · entry 1

Migliorato Peter B. · CIK 0001852034 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,701

F1 · shares: Represents the annual grant of restricted share units (payable solely in common shares of the Issuer on the vesting date) under the James River Group Holdings, Ltd. 2014 Non-Employee Director Incentive Plan, as amended, which vest on March 5, 2026.

Read SEC document
March 05, 2025 Filed Mar 7, 2025 16:30 UTC
Doran Sarah C.Chief Financial Officer
GrantCommon Shares 77,717 $0.00 $0.00
Disclosure

SEC source: 0001620459-25-000032 · wk-form4_1741383000.xml · nonDerivative · entry 1

Doran Sarah C. · CIK 0001695522 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,639

F1 · shares: Grant of restricted share units (payable solely in common shares of the Issuer on each vesting date), vesting in three equal annual installments on March 5 of each of the years 2026 through 2028.

Read SEC document
March 05, 2025 Filed Mar 7, 2025 16:31 UTC
D'Orazio FrankDirector · Chief Executive Officer
GrantCommon Shares 131,334 $0.00 $0.00
Disclosure

SEC source: 0001620459-25-000033 · wk-form4_1741383077.xml · nonDerivative · entry 1

D'Orazio Frank · CIK 0001473976 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 316,624

F1 · shares: Grant of restricted share units (payable solely in common shares of the Issuer on each vesting date), vesting in three equal annual installments on March 5 of each of the years 2026 through 2028.

Read SEC document
March 05, 2025 Filed Mar 7, 2025 16:44 UTC GrantCommon Shares 13,586 $0.00 $0.00
Disclosure

SEC source: 0001620459-25-000045 · wk-form4_1741383859.xml · nonDerivative · entry 1

Gould Kirstin · CIK 0001368251 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,290

F1 · shares: Represents the annual grant of restricted share units (payable solely in common shares of the Issuer on the vesting date) under the James River Group Holdings, Ltd. 2014 Non-Employee Director Incentive Plan, as amended, which vest on March 5, 2026.

Read SEC document
March 05, 2025 Filed Mar 7, 2025 16:47 UTC GrantCommon Shares 13,586 $0.00 $0.00
Disclosure

SEC source: 0001620459-25-000047 · wk-form4_1741384034.xml · nonDerivative · entry 1

Langwell Dennis J. · CIK 0001501635 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,009

F1 · shares: Represents the annual grant of restricted share units (payable solely in common shares of the Issuer on the vesting date) under the James River Group Holdings, Ltd. 2014 Non-Employee Director Incentive Plan, as amended, which vest on March 5, 2026.

Read SEC document
March 05, 2025 Filed Mar 7, 2025 16:42 UTC GrantCommon Shares 13,586 $0.00 $0.00
Disclosure

SEC source: 0001620459-25-000043 · wk-form4_1741383718.xml · nonDerivative · entry 1

Brown Thomas Lynn · CIK 0001529460 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,140

F1 · shares: Represents the annual grant of restricted share units (payable solely in common shares of the Issuer on the vesting date) under the James River Group Holdings, Ltd. 2014 Non-Employee Director Incentive Plan, as amended, which vest on March 5, 2026.

Read SEC document
March 05, 2025 Filed Mar 7, 2025 21:39 UTC
Schmitzer RichardPres. & CEO - E&S Lines Sgmt
GrantCommon Shares 91,026 $0.00 $0.00
Disclosure

SEC source: 0001620459-25-000041 · wk-form4_1741383587.xml · nonDerivative · entry 1

Schmitzer Richard · CIK 0001626706 · Pres. & CEO - E&S Lines Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,522

F1 · shares: Grant of restricted share units (payable solely in common shares of the Issuer on each vesting date), vesting in three equal annual installments on March 5 of each of the years 2026 through 2028.

Read SEC document
March 02, 2025 Filed Mar 4, 2025 17:39 UTC
Bowman William KPres & CEO- Sp Adm Ins Sgmt
Tax withholdingCommon Shares 567 $4.95 $2,806.65
Disclosure

SEC source: 0001620459-25-000012 · wk-form4_1741127936.xml · nonDerivative · entry 3

Bowman William K · CIK 0002004192 · Pres & CEO- Sp Adm Ins Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,545

F3 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 1,667 restricted share units on March 2, 2025.

Read SEC document
March 02, 2025 Filed Mar 4, 2025 17:55 UTC
Hoffmann Michael J.SVP Chief Underwriting Officer
Tax withholdingCommon Shares 2,226 $4.95 $11,018.70
Disclosure

SEC source: 0001620459-25-000020 · wk-form4_1741128900.xml · nonDerivative · entry 3

Hoffmann Michael J. · CIK 0001895369 · SVP Chief Underwriting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,119

F3 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 5,854 restricted share units on March 2, 2025.

Read SEC document
March 02, 2025 Filed Mar 4, 2025 18:00 UTC
Miller Jeanette LSVP, Chief Legal Officer
Tax withholdingCommon Shares 1,141 $4.95 $5,647.95
Disclosure

SEC source: 0001620459-25-000024 · wk-form4_1741129238.xml · nonDerivative · entry 3

Miller Jeanette L · CIK 0001894317 · SVP, Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,836

F3 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 3,354 restricted share units on March 2, 2025.

Read SEC document
March 02, 2025 Filed Mar 4, 2025 17:51 UTC
Doran Sarah C.Chief Financial Officer
Tax withholdingCommon Shares 2,783 $4.95 $13,775.85
Disclosure

SEC source: 0001620459-25-000018 · wk-form4_1741128663.xml · nonDerivative · entry 3

Doran Sarah C. · CIK 0001695522 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,922

F3 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 9,598 restricted share units on March 2, 2025.

Read SEC document
March 02, 2025 Filed Mar 4, 2025 17:47 UTC
D'Orazio FrankDirector · Chief Executive Officer
Tax withholdingCommon Shares 7,490 $4.95 $37,075.50
Disclosure

SEC source: 0001620459-25-000016 · wk-form4_1741128436.xml · nonDerivative · entry 3

D'Orazio Frank · CIK 0001473976 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,290

F3 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 20,732 restricted share units on March 2, 2025.

Read SEC document
March 02, 2025 Filed Mar 4, 2025 17:43 UTC
Crow Michael EPrincipal Accounting Officer
Tax withholdingCommon Shares 1,111 $4.95 $5,499.45
Disclosure

SEC source: 0001620459-25-000014 · wk-form4_1741128213.xml · nonDerivative · entry 3

Crow Michael E · CIK 0001334942 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,444

F3 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 3,868 restricted share units on March 2, 2025.

Read SEC document
March 02, 2025 Filed Mar 4, 2025 17:43 UTC
Crow Michael EPrincipal Accounting Officer
Tax withholdingCommon Shares 1,101 $4.95 $5,449.95
Disclosure

SEC source: 0001620459-25-000014 · wk-form4_1741128213.xml · nonDerivative · entry 2

Crow Michael E · CIK 0001334942 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,555

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 3,869 restricted share units on March 2, 2025.

Read SEC document
March 02, 2025 Filed Mar 4, 2025 23:04 UTC
Schmitzer RichardPres. & CEO - E&S Lines Sgmt
Tax withholdingCommon Shares 3,144 $4.95 $15,562.80
Disclosure

SEC source: 0001620459-25-000026 · wk-form4_1741129449.xml · nonDerivative · entry 3

Schmitzer Richard · CIK 0001626706 · Pres. & CEO - E&S Lines Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 262,496

F3 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 10,446 restricted share units on March 2, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:57 UTC
McCoy James PaulSenior Vice President
Tax withholdingCommon Shares 1,755 $4.95 $8,687.25
Disclosure

SEC source: 0001620459-25-000022 · wk-form4_1741129057.xml · nonDerivative · entry 1

McCoy James Paul · CIK 0002007137 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,767

F1 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 4,464 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:39 UTC
Bowman William KPres & CEO- Sp Adm Ins Sgmt
Tax withholdingCommon Shares 1,735 $4.95 $8,588.25
Disclosure

SEC source: 0001620459-25-000012 · wk-form4_1741127936.xml · nonDerivative · entry 2

Bowman William K · CIK 0002004192 · Pres & CEO- Sp Adm Ins Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,112

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 5,102 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:39 UTC
Bowman William KPres & CEO- Sp Adm Ins Sgmt
Tax withholdingCommon Shares 510 $4.95 $2,524.50
Disclosure

SEC source: 0001620459-25-000012 · wk-form4_1741127936.xml · nonDerivative · entry 1

Bowman William K · CIK 0002004192 · Pres & CEO- Sp Adm Ins Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,847

F1 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 1,498 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:55 UTC
Hoffmann Michael J.SVP Chief Underwriting Officer
Tax withholdingCommon Shares 2,806 $4.95 $13,889.70
Disclosure

SEC source: 0001620459-25-000020 · wk-form4_1741128900.xml · nonDerivative · entry 2

Hoffmann Michael J. · CIK 0001895369 · SVP Chief Underwriting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,345

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 7,517 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:55 UTC
Hoffmann Michael J.SVP Chief Underwriting Officer
Tax withholdingCommon Shares 1,075 $4.95 $5,321.25
Disclosure

SEC source: 0001620459-25-000020 · wk-form4_1741128900.xml · nonDerivative · entry 1

Hoffmann Michael J. · CIK 0001895369 · SVP Chief Underwriting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,151

F1 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 2,853 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:00 UTC
Miller Jeanette LSVP, Chief Legal Officer
Tax withholdingCommon Shares 1,562 $4.95 $7,731.90
Disclosure

SEC source: 0001620459-25-000024 · wk-form4_1741129238.xml · nonDerivative · entry 2

Miller Jeanette L · CIK 0001894317 · SVP, Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,977

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 4,591 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:00 UTC
Miller Jeanette LSVP, Chief Legal Officer
Tax withholdingCommon Shares 485 $4.95 $2,400.75
Disclosure

SEC source: 0001620459-25-000024 · wk-form4_1741129238.xml · nonDerivative · entry 1

Miller Jeanette L · CIK 0001894317 · SVP, Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,539

F1 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 1,426 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:51 UTC
Doran Sarah C.Chief Financial Officer
Tax withholdingCommon Shares 3,308 $4.95 $16,374.60
Disclosure

SEC source: 0001620459-25-000018 · wk-form4_1741128663.xml · nonDerivative · entry 2

Doran Sarah C. · CIK 0001695522 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,705

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 9,727 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:51 UTC
Doran Sarah C.Chief Financial Officer
Tax withholdingCommon Shares 1,256 $4.95 $6,217.20
Disclosure

SEC source: 0001620459-25-000018 · wk-form4_1741128663.xml · nonDerivative · entry 1

Doran Sarah C. · CIK 0001695522 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,013

F1 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 3,692 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:47 UTC
D'Orazio FrankDirector · Chief Executive Officer
Tax withholdingCommon Shares 5,938 $4.95 $29,393.10
Disclosure

SEC source: 0001620459-25-000016 · wk-form4_1741128436.xml · nonDerivative · entry 2

D'Orazio Frank · CIK 0001473976 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,780

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 16,439 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:47 UTC
D'Orazio FrankDirector · Chief Executive Officer
Tax withholdingCommon Shares 2,200 $4.95 $10,890.00
Disclosure

SEC source: 0001620459-25-000016 · wk-form4_1741128436.xml · nonDerivative · entry 1

D'Orazio Frank · CIK 0001473976 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 198,718

F1 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 6,209 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 17:43 UTC
Crow Michael EPrincipal Accounting Officer
Tax withholdingCommon Shares 915 $4.95 $4,529.25
Disclosure

SEC source: 0001620459-25-000014 · wk-form4_1741128213.xml · nonDerivative · entry 1

Crow Michael E · CIK 0001334942 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,656

F1 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 3,290 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 23:04 UTC
Schmitzer RichardPres. & CEO - E&S Lines Sgmt
Tax withholdingCommon Shares 4,010 $4.95 $19,849.50
Disclosure

SEC source: 0001620459-25-000026 · wk-form4_1741129449.xml · nonDerivative · entry 2

Schmitzer Richard · CIK 0001626706 · Pres. & CEO - E&S Lines Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,640

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 11,393 restricted share units on March 1, 2025.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 23:04 UTC
Schmitzer RichardPres. & CEO - E&S Lines Sgmt
Tax withholdingCommon Shares 1,545 $4.95 $7,647.75
Disclosure

SEC source: 0001620459-25-000026 · wk-form4_1741129449.xml · nonDerivative · entry 1

Schmitzer Richard · CIK 0001626706 · Pres. & CEO - E&S Lines Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 269,650

F1 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 4,363 restricted share units on March 1, 2025.

Read SEC document
November 11, 2024 Filed Nov 13, 2024 16:59 UTC GrantSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative 112,500 $0.00 Strike: $8.32 $0.00
Disclosure

SEC source: 0000950170-24-126457 · ownership.xml · derivative · entry 4

Gallatin Point Capital LLC · CIK 0001708030 · Director

GPC Partners II GP LLC · CIK 0001922998 · Director

GPC Partners Investments (Thames) LP · CIK 0001922983 · Director

Sachs Lewis A · CIK 0001923163 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 112,500

Underlying: Common Shares · 13,521,634 shares

Expires not disclosed

F1 · derivative.exercise_price: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.exercise_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.expiration_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. Matthew B. Botein and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. Each Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his or its pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that any Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

Read SEC document
November 11, 2024 Filed Nov 13, 2024 16:59 UTC Disposition to issuerSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative 112,500 $0.00 Strike: $21.90 $0.00
Disclosure

SEC source: 0000950170-24-126457 · ownership.xml · derivative · entry 3

Gallatin Point Capital LLC · CIK 0001708030 · Director

GPC Partners II GP LLC · CIK 0001922998 · Director

GPC Partners Investments (Thames) LP · CIK 0001922983 · Director

Sachs Lewis A · CIK 0001923163 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 0

Underlying: Common Shares · 5,136,564 shares

Expires not disclosed

F1 · derivative.exercise_price: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.exercise_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.expiration_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. Matthew B. Botein and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. Each Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his or its pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that any Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

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November 11, 2024 Filed Nov 13, 2024 16:59 UTC Exercise / conversionSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative 37,500 $0.00 Strike: $6.40 $0.00
Disclosure

SEC source: 0000950170-24-126457 · ownership.xml · derivative · entry 2

Gallatin Point Capital LLC · CIK 0001708030 · Director

GPC Partners II GP LLC · CIK 0001922998 · Director

GPC Partners Investments (Thames) LP · CIK 0001922983 · Director

Sachs Lewis A · CIK 0001923163 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 112,500

Underlying: Common Shares · 5,859,375 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.exercise_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.expiration_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. Matthew B. Botein and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. Each Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his or its pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that any Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

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November 11, 2024 Filed Nov 13, 2024 16:59 UTC Exercise / conversionCommon Shares 5,859,375 $6.40 $37,500,000.00
Disclosure

SEC source: 0000950170-24-126457 · ownership.xml · nonDerivative · entry 1

Gallatin Point Capital LLC · CIK 0001708030 · Director

GPC Partners II GP LLC · CIK 0001922998 · Director

GPC Partners Investments (Thames) LP · CIK 0001922983 · Director

Sachs Lewis A · CIK 0001923163 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 5,859,375

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F2 · balance_after: Pursuant to the Issuer's organizational documents, in no event may the Series A Preferred Shares held directly or indirectly by the Reporting Persons, together with any Common Shares received on conversion of Series A Preferred Shares or as Dividends with respect to such Series A Preferred Shares, be entitled to vote in excess of 9.9% of the aggregate voting power of the then-outstanding Common Shares on an as converted basis or of the outstanding voting securities of the Issuer.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. Matthew B. Botein and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. Each Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his or its pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that any Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

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November 11, 2024 Filed Nov 13, 2024 21:51 UTC GrantSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative 112,500 $0.00 Strike: $8.32 $0.00
Disclosure

SEC source: 0000950170-24-126443 · ownership.xml · derivative · entry 4

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 112,500

Underlying: Common Shares · 13,521,634 shares

Expires not disclosed

F1 · derivative.exercise_price: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.exercise_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.expiration_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

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November 11, 2024 Filed Nov 13, 2024 21:51 UTC Disposition to issuerSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative 112,500 $0.00 Strike: $21.90 $0.00
Disclosure

SEC source: 0000950170-24-126443 · ownership.xml · derivative · entry 3

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 0

Underlying: Common Shares · 5,136,564 shares

Expires not disclosed

F1 · derivative.exercise_price: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.exercise_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.expiration_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

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November 11, 2024 Filed Nov 13, 2024 21:51 UTC Exercise / conversionSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative 37,500 $0.00 Strike: $6.40 $0.00
Disclosure

SEC source: 0000950170-24-126443 · ownership.xml · derivative · entry 2

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 112,500

Underlying: Common Shares · 5,859,375 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.exercise_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F1 · derivative.expiration_date: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

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November 11, 2024 Filed Nov 13, 2024 21:51 UTC Exercise / conversionCommon Shares 5,859,375 $6.40 $37,500,000.00
Disclosure

SEC source: 0000950170-24-126443 · ownership.xml · nonDerivative · entry 1

Botein Matthew · CIK 0001469142 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By GPC Partners Investments (Thames) LP

Disclosed balance after: 5,859,375

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On November 11, 2024, GPC Partners Investments (Thames) LP ("GPC Thames") exchanged 37,500 Series A Perpetual Cumulative Convertible Preferred Shares (the "Series A Preferred Shares") for 5,859,375 Common Shares at a price per share of $6.40, pursuant to the terms of that certain First Amendment to the Investment Agreement (the "Investment Agreement Amendment") and Amended and Restated Certificate of Designations of the Series A Preferred Shares (the "A&R Certificate of Desigations"). Pursuant to the Investment Agreement Amendment and A&R Certificate of Designations, the remaining 112,500 Series A Preferred Shares are convertible at any time at the option of the holder at a modified conversion price of $8.32 into the number of Common Shares shown in column 7, subject to adjustments as set forth in the A&R Certificate of Designations. The Series A Preferred Shares have no expiration date.

F2 · balance_after: Pursuant to the Issuer's organizational documents, in no event may the Series A Preferred Shares held directly or indirectly by the Reporting Person, together with any Common Shares received on conversion of Series A Preferred Shares or as Dividends with respect to such Series A Preferred Shares, be entitled to vote in excess of 9.9% of the aggregate voting power of the then-outstanding Common Shares on an as converted basis or of the outstanding voting securities of the Issuer.

F3 · ownership.nature: The shares are held directly by GPC Thames. GPC Partners II GP LLC ("GPC II GP") is the general partner of GPC Thames, and Gallatin Point Capital LLC ("Gallatin Point") is the managing member of GPC II GP. The Reporting Person and Lewis (Lee) Sachs are the Co-Founders and Managing Partners of the ultimate parent of Gallatin Point and collectively make voting and investment decisions on behalf of GPC Thames. The Reporting Person disclaims beneficial ownership of the shares reported herein except to the extent of his pecuniary interest therein, if any, and the inclusion of these shares in this report shall not be deemed an admission that the Reporting Person is a beneficial owner of the securities reported in this filing for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act").

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November 09, 2024 Filed Nov 12, 2024 16:38 UTC
McCoy James PaulSenior Vice President
Tax withholdingCommon Shares 1,050 $6.55 $6,877.50
Disclosure

SEC source: 0001620459-24-000130 · wk-form4_1731447489.xml · nonDerivative · entry 1

McCoy James Paul · CIK 0002007137 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,522

F1 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 3,393 restricted share units on November 9, 2024.

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July 25, 2024 Filed Jul 29, 2024 18:23 UTC GrantCommon Shares 4,460 $0.00 $0.00
Disclosure

SEC source: 0001620459-24-000100 · wk-form4_1722291783.xml · nonDerivative · entry 1

LaSala Christine · CIK 0002029782 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,460

F1 · shares: Represents the annual grant of restricted share units (payable solely in common shares of the Issuer on the vesting date) under the James River Group Holdings, Ltd. 2014 Non-Employee Director Incentive Plan, as amended, which vest on March 1, 2025.

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April 16, 2024 Filed Apr 18, 2024 20:49 UTC
Heinlein DanielPres & CEO-Casualty Rein Sgmt
Disposition to issuerCommon Shares 30,626 $8.81 $269,815.06
Disclosure

SEC source: 0001620459-24-000079 · wk-form4_1713473338.xml · nonDerivative · entry 1

Heinlein Daniel · CIK 0001736807 · Pres & CEO-Casualty Rein Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,748

F1 · shares: Consists of restricted share units ("RSUs").

F2 · shares: On April 16, 2024, the sale of JRG Reinsurance Company Ltd., a subsidiary of James River Group Holdings, Ltd. (the "Issuer") pursuant to that certain Stock Purchase Agreement, dated November 8, 2023, by and among the Issuer and Fleming Intermediate Holdings LLC, was completed. As approved by the Issuer's Board of Directors, at the recommendation of members of the Compensation and Human Capital Committee, unvested service-based RSUs held by the Reporting Person outstanding at the time of the completion of the transaction were accelerated, with the RSU awards settled in an amount of cash equal to the number of unvested service-based RSUs multiplied by $8.81 (representing the closing share price of the Issuer's common stock on the Nasdaq Stock Market on April 16, 2024), subject to any applicable withholding taxes.

F2 · balance_after: On April 16, 2024, the sale of JRG Reinsurance Company Ltd., a subsidiary of James River Group Holdings, Ltd. (the "Issuer") pursuant to that certain Stock Purchase Agreement, dated November 8, 2023, by and among the Issuer and Fleming Intermediate Holdings LLC, was completed. As approved by the Issuer's Board of Directors, at the recommendation of members of the Compensation and Human Capital Committee, unvested service-based RSUs held by the Reporting Person outstanding at the time of the completion of the transaction were accelerated, with the RSU awards settled in an amount of cash equal to the number of unvested service-based RSUs multiplied by $8.81 (representing the closing share price of the Issuer's common stock on the Nasdaq Stock Market on April 16, 2024), subject to any applicable withholding taxes.

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April 01, 2024 Filed Apr 3, 2024 21:58 UTC
Heinlein DanielPres & CEO-Casualty Rein Sgmt
GrantCommon Shares 19,181 $0.00 $0.00
Disclosure

SEC source: 0001620459-24-000073 · wk-form4_1712181506.xml · nonDerivative · entry 3

Heinlein Daniel · CIK 0001736807 · Pres & CEO-Casualty Rein Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,374

F3 · shares: Grant of restricted share units (payable solely in common shares of the Issuer on each vesting date), vesting in three equal annual installments on March 1 of each of the years 2025 through 2027.

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March 02, 2024 Filed Mar 5, 2024 17:23 UTC
Bowman William KPres & CEO- Sp Adm Ins Sgmt
Tax withholdingCommon Shares 571 $9.80 $5,595.80
Disclosure

SEC source: 0001620459-24-000054 · wk-form4_1709677414.xml · nonDerivative · entry 2

Bowman William K · CIK 0002004192 · Pres & CEO- Sp Adm Ins Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,357

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 1,667 restricted share units on March 2, 2024.

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March 02, 2024 Filed Mar 5, 2024 17:50 UTC
Hoffmann Michael J.SVP Chief Underwriting Officer
Tax withholdingCommon Shares 2,188 $9.80 $21,442.40
Disclosure

SEC source: 0001620459-24-000060 · wk-form4_1709679012.xml · nonDerivative · entry 2

Hoffmann Michael J. · CIK 0001895369 · SVP Chief Underwriting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,226

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 5,853 restricted share units on March 2, 2024.

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March 02, 2024 Filed Mar 5, 2024 17:56 UTC
Miller Jeanette LSVP, Chief Legal Officer
Tax withholdingCommon Shares 1,149 $9.80 $11,260.20
Disclosure

SEC source: 0001620459-24-000062 · wk-form4_1709679401.xml · nonDerivative · entry 2

Miller Jeanette L · CIK 0001894317 · SVP, Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,024

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 3,353 restricted share units on March 2, 2024.

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March 02, 2024 Filed Mar 5, 2024 18:21 UTC
Doran Sarah C.Chief Financial Officer
Tax withholdingCommon Shares 2,824 $9.80 $27,675.20
Disclosure

SEC source: 0001620459-24-000068 · wk-form4_1709680881.xml · nonDerivative · entry 2

Doran Sarah C. · CIK 0001695522 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,269

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 9,597 restricted share units on March 2, 2024.

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March 02, 2024 Filed Mar 5, 2024 17:42 UTC
D'Orazio FrankDirector · Chief Executive Officer
Tax withholdingCommon Shares 6,666 $9.80 $65,326.80
Disclosure

SEC source: 0001620459-24-000058 · wk-form4_1709678516.xml · nonDerivative · entry 2

D'Orazio Frank · CIK 0001473976 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,918

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 20,732 restricted share units on March 2, 2024.

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March 02, 2024 Filed Mar 5, 2024 17:32 UTC
Crow Michael EPrincipal Accounting Officer
Tax withholdingCommon Shares 1,293 $9.80 $12,671.40
Disclosure

SEC source: 0001620459-24-000056 · wk-form4_1709677915.xml · nonDerivative · entry 2

Crow Michael E · CIK 0001334942 · Principal Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,571

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 3,869 restricted share units on March 2, 2024.

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March 02, 2024 Filed Mar 5, 2024 23:13 UTC
Schmitzer RichardPres. & CEO - E&S Lines Sgmt
Tax withholdingCommon Shares 3,132 $9.80 $30,693.60
Disclosure

SEC source: 0001620459-24-000066 · wk-form4_1709680393.xml · nonDerivative · entry 2

Schmitzer Richard · CIK 0001626706 · Pres. & CEO - E&S Lines Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 271,195

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 10,445 restricted share units on March 2, 2024.

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March 02, 2024 Filed Apr 3, 2024 21:58 UTC
Heinlein DanielPres & CEO-Casualty Rein Sgmt
Tax withholdingCommon Shares 2,472 $9.80 $24,225.60
Disclosure

SEC source: 0001620459-24-000073 · wk-form4_1712181506.xml · nonDerivative · entry 2

Heinlein Daniel · CIK 0001736807 · Pres & CEO-Casualty Rein Sgmt

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,193

F2 · shares: The shares disposed of were withheld by James River Group Holdings, Ltd. for payment of the tax liability incident to the vesting of 6,545 restricted share units on March 2, 2024.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.