Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 05, 2025 Filed Mar 7, 2025 16:38 UTC |
Miller Jeanette LSVP, Chief Legal Officer
|
GrantCommon Shares | 36,684 | $0.00 | $0.00 |
DisclosureSEC 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 |
Migliorato Peter B.Director
|
GrantCommon Shares | 13,586 | $0.00 | $0.00 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
Gould KirstinDirector
|
GrantCommon Shares | 13,586 | $0.00 | $0.00 |
DisclosureSEC 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 |
Langwell Dennis J.Director
|
GrantCommon Shares | 13,586 | $0.00 | $0.00 |
DisclosureSEC 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 |
Brown Thomas LynnDirector
|
GrantCommon Shares | 13,586 | $0.00 | $0.00 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
DisclosureSEC 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 |
Gallatin Point Capital LLCDirector
GPC Partners II GP LLCDirector
Sachs Lewis ADirector
|
GrantSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative | 112,500 | $0.00 Strike: $8.32 | $0.00 |
DisclosureSEC 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 |
Gallatin Point Capital LLCDirector
GPC Partners II GP LLCDirector
Sachs Lewis ADirector
|
Disposition to issuerSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative | 112,500 | $0.00 Strike: $21.90 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| November 11, 2024 Filed Nov 13, 2024 16:59 UTC |
Gallatin Point Capital LLCDirector
GPC Partners II GP LLCDirector
Sachs Lewis ADirector
|
Exercise / conversionSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative | 37,500 | $0.00 Strike: $6.40 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| November 11, 2024 Filed Nov 13, 2024 16:59 UTC |
Gallatin Point Capital LLCDirector
GPC Partners II GP LLCDirector
Sachs Lewis ADirector
|
Exercise / conversionCommon Shares | 5,859,375 | $6.40 | $37,500,000.00 |
DisclosureSEC 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"). Read SEC document |
| November 11, 2024 Filed Nov 13, 2024 21:51 UTC |
Botein MatthewDirector
|
GrantSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative | 112,500 | $0.00 Strike: $8.32 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| November 11, 2024 Filed Nov 13, 2024 21:51 UTC |
Botein MatthewDirector
|
Disposition to issuerSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative | 112,500 | $0.00 Strike: $21.90 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| November 11, 2024 Filed Nov 13, 2024 21:51 UTC |
Botein MatthewDirector
|
Exercise / conversionSeries A Perpetual Cumulative Convertible Preferred Shares · Derivative | 37,500 | $0.00 Strike: $6.40 | $0.00 |
DisclosureSEC 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"). Read SEC document |
| November 11, 2024 Filed Nov 13, 2024 21:51 UTC |
Botein MatthewDirector
|
Exercise / conversionCommon Shares | 5,859,375 | $6.40 | $37,500,000.00 |
DisclosureSEC 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"). Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| July 25, 2024 Filed Jul 29, 2024 18:23 UTC |
LaSala ChristineDirector
|
GrantCommon Shares | 4,460 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| April 01, 2024 Filed Apr 3, 2024 21:58 UTC |
Heinlein DanielPres & CEO-Casualty Rein Sgmt
|
GrantCommon Shares | 19,181 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
| 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 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.