Tapewire

Nasdaq · USD

LMB

Limbach Holdings, Inc.

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Tapewire entity
5430
SEC CIK
0001606163
Parsed reports
261

Last 12 months

Inside the activity.

7 purchase rows · 23 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202504
Jan 202600
Feb 202600
Mar 202609
Apr 202605
May 202600
Jun 202604
Jul 202600
Aug 202600
Sep 202671
Oct 202600

Latest available

Insider transactions

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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
January 01, 2020 Filed Jan 3, 2020 17:22 UTC Exercise / conversionCommon Stock 357 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000983 · tm1928451d2_4.xml · nonDerivative · entry 2

McNally Michael F · CIK 0001667559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,033

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 17:22 UTC Exercise / conversionCommon Stock 1,067 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000983 · tm1928451d2_4.xml · nonDerivative · entry 1

McNally Michael F · CIK 0001667559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,676

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 23:29 UTC GrantRestricted Stock Units · Derivative 3,200 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-001045 · tm1928451d8_4.xml · derivative · entry 5

Cerminara Kyle · CIK 0001619991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,334

Underlying: Common Stock · 3,200 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3.

F5 · derivative.exercise_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

F5 · derivative.expiration_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 23:29 UTC Exercise / conversionRestricted Stock Units · Derivative 1,066 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-001045 · tm1928451d8_4.xml · derivative · entry 4

Cerminara Kyle · CIK 0001619991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,134

Underlying: Common Stock · 1,066 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3.

F4 · derivative.exercise_date: This award of RSUs was granted on 03/26/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

F4 · derivative.expiration_date: This award of RSUs was granted on 03/26/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 23:29 UTC Exercise / conversionCommon Stock 1,066 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-001045 · tm1928451d8_4.xml · nonDerivative · entry 1

Cerminara Kyle · CIK 0001619991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,066

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:26 UTC
Brooks Jayme L.EVP & Chief Financial Officer
GrantRestricted Stock Units · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000989 · tm1928451d9_4.xml · derivative · entry 1

Brooks Jayme L. · CIK 0001447591 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,215

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F2 · derivative.exercise_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued employment through the applicable vesting date. The amounts reported above (related to this grant) do not include performance-based RSUs, if any, that may be earned by the reporting person but for which the Compensation Committee has not yet determined the achievement of the applicable performance goals. Any such RSUs will be reported on a Form 4 within two business days of the date of such determination.

F2 · derivative.expiration_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued employment through the applicable vesting date. The amounts reported above (related to this grant) do not include performance-based RSUs, if any, that may be earned by the reporting person but for which the Compensation Committee has not yet determined the achievement of the applicable performance goals. Any such RSUs will be reported on a Form 4 within two business days of the date of such determination.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:25 UTC GrantRestricted Stock Units · Derivative 3,200 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000987 · tm1928451d6_4.xml · derivative · entry 5

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,401

Underlying: Common Stock · 3,200 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F4 · derivative.exercise_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

F4 · derivative.expiration_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:25 UTC Exercise / conversionRestricted Stock Units · Derivative 1,066 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000987 · tm1928451d6_4.xml · derivative · entry 4

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,201

Underlying: Common Stock · 1,066 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F3 · derivative.exercise_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

F3 · derivative.expiration_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:25 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000987 · tm1928451d6_4.xml · derivative · entry 3

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,267

Underlying: Common Stock · 1,067 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F2 · derivative.exercise_date: This award of RSUs was granted on 06/01/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued service through the applicable vesting date.

F2 · derivative.expiration_date: This award of RSUs was granted on 06/01/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:25 UTC Exercise / conversionCommon Stock 1,066 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000987 · tm1928451d6_4.xml · nonDerivative · entry 2

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,199

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:25 UTC Exercise / conversionCommon Stock 1,067 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000987 · tm1928451d6_4.xml · nonDerivative · entry 1

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,133

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:24 UTC
Bacon Charles A. IIIDirector · President and CEO
GrantRestricted Stock Units · Derivative 17,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000986 · tm1928451d5_4.xml · derivative · entry 7

Bacon Charles A. III · CIK 0001679798 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,668

Underlying: Common Stock · 17,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F5 · derivative.exercise_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued employment through the applicable vesting date. The amounts reported above (related to this grant) do not include performance-based RSUs, if any, that may be earned by the reporting person but for which the Compensation Committee has not yet determined the achievement of the applicable performance goals. Any such RSUs will be reported on a Form 4 within two business days of the date of such determination.

F5 · derivative.expiration_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued employment through the applicable vesting date. The amounts reported above (related to this grant) do not include performance-based RSUs, if any, that may be earned by the reporting person but for which the Compensation Committee has not yet determined the achievement of the applicable performance goals. Any such RSUs will be reported on a Form 4 within two business days of the date of such determination.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:24 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 11,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000986 · tm1928451d5_4.xml · derivative · entry 6

Bacon Charles A. III · CIK 0001679798 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,168

Underlying: Common Stock · 11,666 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F4 · derivative.exercise_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

F4 · derivative.expiration_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:24 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 5,833 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000986 · tm1928451d5_4.xml · derivative · entry 5

Bacon Charles A. III · CIK 0001679798 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,834

Underlying: Common Stock · 5,833 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F3 · derivative.exercise_date: This award of RSUs was granted on 04/13/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued employment through the applicable vesting date. The amounts reported above (related to this grant) do not include performance-based RSUs, if any, that may be earned by the reporting person but for which the Compensation Committee has not yet determined the achievement of the applicable performance goals. Any such RSUs will be reported on a Form 4 within two business days of the date of such determination.

F3 · derivative.expiration_date: This award of RSUs was granted on 04/13/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued employment through the applicable vesting date. The amounts reported above (related to this grant) do not include performance-based RSUs, if any, that may be earned by the reporting person but for which the Compensation Committee has not yet determined the achievement of the applicable performance goals. Any such RSUs will be reported on a Form 4 within two business days of the date of such determination.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:24 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 5,834 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000986 · tm1928451d5_4.xml · derivative · entry 4

Bacon Charles A. III · CIK 0001679798 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,667

Underlying: Common Stock · 5,834 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

F2 · derivative.exercise_date: This award of RSUs was granted on 08/30/2017. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2018, January 1, 2019 and January 1, 2020, subject to continued employment through the applicable vesting date.

F2 · derivative.expiration_date: This award of RSUs was granted on 08/30/2017. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2018, January 1, 2019 and January 1, 2020, subject to continued employment through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:24 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionCommon Stock 11,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000986 · tm1928451d5_4.xml · nonDerivative · entry 3

Bacon Charles A. III · CIK 0001679798 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 385,664

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:24 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionCommon Stock 5,833 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000986 · tm1928451d5_4.xml · nonDerivative · entry 2

Bacon Charles A. III · CIK 0001679798 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,998

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:24 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionCommon Stock 5,834 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000986 · tm1928451d5_4.xml · nonDerivative · entry 1

Bacon Charles A. III · CIK 0001679798 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,165

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC GrantRestricted Stock Units · Derivative 3,200 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000985 · tm1928451d4_4.xml · derivative · entry 7

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,401

Underlying: Common Stock · 3,200 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F5 · derivative.exercise_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

F5 · derivative.expiration_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionRestricted Stock Units · Derivative 1,066 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000985 · tm1928451d4_4.xml · derivative · entry 6

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,201

Underlying: Common Stock · 1,066 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F4 · derivative.exercise_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

F4 · derivative.expiration_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000985 · tm1928451d4_4.xml · derivative · entry 5

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,267

Underlying: Common Stock · 1,067 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F3 · derivative.exercise_date: This award of RSUs was granted on 04/13/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued service through the applicable vesting date.

F3 · derivative.expiration_date: This award of RSUs was granted on 04/13/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionRestricted Stock Units · Derivative 1,068 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000985 · tm1928451d4_4.xml · derivative · entry 4

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,334

Underlying: Common Stock · 1,068 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F2 · derivative.exercise_date: This award of RSUs was granted on 08/30/2017. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2018, January 1, 2019 and January 1, 2020, subject to continued service through the applicable vesting date.

F2 · derivative.expiration_date: This award of RSUs was granted on 08/30/2017. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2018, January 1, 2019 and January 1, 2020, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionCommon Stock 1,066 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000985 · tm1928451d4_4.xml · nonDerivative · entry 3

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,299

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionCommon Stock 1,067 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000985 · tm1928451d4_4.xml · nonDerivative · entry 2

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,233

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionCommon Stock 1,068 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000985 · tm1928451d4_4.xml · nonDerivative · entry 1

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,166

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC GrantRestricted Stock Units · Derivative 3,200 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000984 · tm1928451d3_4.xml · derivative · entry 8

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,401

Underlying: Common Stock · 3,200 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F6 · derivative.exercise_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

F6 · derivative.expiration_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionRestricted Stock Units · Derivative 1,066 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000984 · tm1928451d3_4.xml · derivative · entry 7

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,201

Underlying: Common Stock · 1,066 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F5 · derivative.exercise_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

F5 · derivative.expiration_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000984 · tm1928451d3_4.xml · derivative · entry 6

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,267

Underlying: Common Stock · 1,067 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F4 · derivative.exercise_date: This award of RSUs was granted on 04/13/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued service through the applicable vesting date.

F4 · derivative.expiration_date: This award of RSUs was granted on 04/13/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionRestricted Stock Units · Derivative 1,068 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000984 · tm1928451d3_4.xml · derivative · entry 5

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,334

Underlying: Common Stock · 1,068 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F3 · derivative.exercise_date: This award of RSUs was granted on 08/30/2017. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2018, January 1, 2019 and January 1, 2020, subject to continued service through the applicable vesting date.

F3 · derivative.expiration_date: This award of RSUs was granted on 08/30/2017. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2018, January 1, 2019 and January 1, 2020, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionCommon Stock 1,066 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000984 · tm1928451d3_4.xml · nonDerivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,399

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionCommon Stock 1,067 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000984 · tm1928451d3_4.xml · nonDerivative · entry 2

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,333

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:23 UTC Exercise / conversionCommon Stock 1,068 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000984 · tm1928451d3_4.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,266

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:22 UTC GrantRestricted Stock Units · Derivative 3,200 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000982 · tm1928451d1_4.xml · derivative · entry 9

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,401

Underlying: Common Stock · 3,200 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F7 · derivative.exercise_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

F7 · derivative.expiration_date: This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:22 UTC Exercise / conversionRestricted Stock Units · Derivative 1,066 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000982 · tm1928451d1_4.xml · derivative · entry 8

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,201

Underlying: Common Stock · 1,066 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F6 · derivative.exercise_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

F6 · derivative.expiration_date: This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:22 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000982 · tm1928451d1_4.xml · derivative · entry 7

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,267

Underlying: Common Stock · 1,067 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F5 · derivative.exercise_date: This award of RSUs was granted on 04/13/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued service through the applicable vesting date.

F5 · derivative.expiration_date: This award of RSUs was granted on 04/13/2018. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2019, January 1, 2020 and January 1, 2021, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:22 UTC Exercise / conversionRestricted Stock Units · Derivative 1,068 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000982 · tm1928451d1_4.xml · derivative · entry 6

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,334

Underlying: Common Stock · 1,068 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

F4 · derivative.exercise_date: This award of RSUs was granted on 08/30/2017. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2018, January 1, 2019 and January 1, 2020, subject to continued service through the applicable vesting date.

F4 · derivative.expiration_date: This award of RSUs was granted on 08/30/2017. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2018, January 1, 2019 and January 1, 2020, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:22 UTC Exercise / conversionCommon Stock 1,066 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000982 · tm1928451d1_4.xml · nonDerivative · entry 3

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,399

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:22 UTC Exercise / conversionCommon Stock 1,067 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000982 · tm1928451d1_4.xml · nonDerivative · entry 2

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,333

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 22:22 UTC Exercise / conversionCommon Stock 1,068 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-000982 · tm1928451d1_4.xml · nonDerivative · entry 1

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,266

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. (the "Company") common stock, exempt under Rule 16b-3.

Read SEC document
December 10, 2019 Filed Dec 12, 2019 21:15 UTC
Bacon Charles A. IIIDirector · President and CEO
PurchaseCommon Stock 5,000 $2.72 $13,599.00
Disclosure

SEC source: 0001104659-19-072203 · tm1925111d1_4.xml · nonDerivative · entry 1

Bacon Charles A. III · CIK 0001679798 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,331

F1 · kind: The Reporting Person previously reported the purchase of 30,000 shares of the Issuer's common stock on December 6, 2019 (the "12/6/19 Purchase"). The 12/6/19 Purchase was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 7,260 shares of such common stock, with the Reporting Person's sale of 7,260 shares of the Issuer's common stock at a price of $4.75 per share on August 21, 2019. Upon settlement of the 12/6/19 Purchase, the Reporting Person paid the Issuer $14,516.37, representing the full amount of the profit realized for Section 16 purpose in connection with the short-swing transactions.

F2 · kind: The purchase of 5,000 shares of the Issuer's common stock on December 10, 2019 is also matachable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 5,000 shares, with the Reporting Person's sale of 5,000 shares of the Issuer's common stock at a price of $4.75 per share on August 21, 2019. The Reporting Person has agreed to pay the Issuer, upon settlement of the purchases, $10,151.00, representing the full amount of the profit realized for Section 16 purposes in connection with the short-swing transaction, of which $9,989.36 was previously paid upon settlement of the 12/6/19 Purchase.

Read SEC document
December 09, 2019 Filed Dec 10, 2019 21:17 UTC
Bacon Charles A. IIIPresident and CEO
PurchaseCommon Stock 30,000 $2.76 $82,662.00
Disclosure

SEC source: 0001104659-19-071436 · tm1924830d5_4.xml · nonDerivative · entry 3

Bacon Charles A. III · CIK 0001679798 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,331

Read SEC document
December 06, 2019 Filed Dec 10, 2019 21:17 UTC
Bacon Charles A. IIIPresident and CEO
PurchaseCommon Stock 30,000 $2.75 $82,407.00
Disclosure

SEC source: 0001104659-19-071436 · tm1924830d5_4.xml · nonDerivative · entry 2

Bacon Charles A. III · CIK 0001679798 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,331

F2 · kind: The Reporting Person's acquisition of the Issuer's common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 7,260 shares, with the Reporting Person's sale of 7,260 shares of the Issuer's common stock at a price of $4.75 per share on August 21, 2019. The Reporting Person has agreed to pay the Issuer, upon settlement of the sale, $14,516.37, representing the full amount of the profit realized in connection with the short-swing transaction.

Read SEC document
December 06, 2019 Filed Dec 10, 2019 21:15 UTC
Brooks Jayme L.EVP & Chief Financial Officer
PurchaseCommon Stock 5,000 $2.80 $13,997.50
Disclosure

SEC source: 0001104659-19-071432 · tm1924830d1_4.xml · nonDerivative · entry 1

Brooks Jayme L. · CIK 0001447591 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Read SEC document
November 21, 2019 Filed Nov 22, 2019 15:05 UTC PurchaseCommon Stock 9,700 $2.99 $29,003.00
Disclosure

SEC source: 0001104659-19-066587 · tm1923748d1_4.xml · nonDerivative · entry 2

McNally Michael F · CIK 0001667559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,609

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.900 to $3.0000, inclusive.

Read SEC document
November 20, 2019 Filed Nov 22, 2019 15:05 UTC PurchaseCommon Stock 25,133 $2.85 $71,629.05
Disclosure

SEC source: 0001104659-19-066587 · tm1923748d1_4.xml · nonDerivative · entry 1

McNally Michael F · CIK 0001667559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,909

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.800 to $2.9779, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) of this Form 4.

Read SEC document
November 19, 2019 Filed Nov 20, 2019 17:06 UTC
1347 Investors LLCDirector · 10% owner · See Remarks
SWETS LARRY G JRDirector · 10% owner
Cerminara KyleDirector · 10% owner
Other$15 Exercise Price Sponsor Warrant · Derivative 500,000 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001104659-19-065925 · tm1923452d1_4.xml · derivative · entry 2

1347 Investors LLC · CIK 0001612411 · Director · 10% owner · See Remarks

SWETS LARRY G JR · CIK 0001409891 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires 2023-07-20

F5 · derivative.exercise_price: Each $15 Exercise Price Sponsor Warrant is exercisable to purchase one share of common stock at an exercise price of $15.00 per share, subject to adjustment as described under the heading "Description of Securities--$15 Exercise Price Sponsor Warrants" in the Issuer's registration statement on Form S-1 (File No. 333-195695).

F4 · kind: Represents a distribution of Common Stock and $15 Exercise Price Sponsor Warrants to certain members of 1347 Investors pursuant to a Distribution and Redemption Agreement, dated September 30, 2019. The distribution was completed on November 19, 2019.

F1 · ownership.direct: The securities are held directly by 1347 Investors LLC ("1347 Investors"). Larry G. Swets, Jr. and D. Kyle Cerminara are each a manager of 1347 Investors and share voting and dispositive control over the securities held by 1347 Investors. Accordingly, Messrs. Swets and Cerminara may be deemed to share beneficial ownership over the securities held directly by 1347 Investors. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: Messrs. Swets and Cerminara each serve on the Board of Directors of the Issuer. Mr. Swets holds 13,198 shares of common stock of the Issuer, and Messrs. Swets and Cerminara hold 6,402 and 3,200 restricted stock units, respectively, granted by the Issuer. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F3 · ownership.direct: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 7,080 shares of common stock for the accounts of individual investors. CWA, in its role as investment advisor for customer accounts, Fundamental Global Investors, LLC, as a 50% owner of CWA, and Mr. Cerminara, as manager of CWA, may each be deemed to beneficially own the number of shares held in CWA's customer accounts. Each of Fundamental Global Investors, LLC and Mr. Cerminara expressly disclaims such beneficial ownership.

Read SEC document
November 19, 2019 Filed Nov 20, 2019 17:06 UTC
1347 Investors LLCDirector · 10% owner · See Remarks
SWETS LARRY G JRDirector · 10% owner
Cerminara KyleDirector · 10% owner
OtherCommon Stock, $0.0001 par value 1,236,344 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-065925 · tm1923452d1_4.xml · nonDerivative · entry 1

1347 Investors LLC · CIK 0001612411 · Director · 10% owner · See Remarks

SWETS LARRY G JR · CIK 0001409891 · Director · 10% owner

Cerminara Kyle · CIK 0001619991 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,770

F4 · kind: Represents a distribution of Common Stock and $15 Exercise Price Sponsor Warrants to certain members of 1347 Investors pursuant to a Distribution and Redemption Agreement, dated September 30, 2019. The distribution was completed on November 19, 2019.

F1 · ownership.direct: The securities are held directly by 1347 Investors LLC ("1347 Investors"). Larry G. Swets, Jr. and D. Kyle Cerminara are each a manager of 1347 Investors and share voting and dispositive control over the securities held by 1347 Investors. Accordingly, Messrs. Swets and Cerminara may be deemed to share beneficial ownership over the securities held directly by 1347 Investors. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: Messrs. Swets and Cerminara each serve on the Board of Directors of the Issuer. Mr. Swets holds 13,198 shares of common stock of the Issuer, and Messrs. Swets and Cerminara hold 6,402 and 3,200 restricted stock units, respectively, granted by the Issuer. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.

F3 · ownership.direct: In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 7,080 shares of common stock for the accounts of individual investors. CWA, in its role as investment advisor for customer accounts, Fundamental Global Investors, LLC, as a 50% owner of CWA, and Mr. Cerminara, as manager of CWA, may each be deemed to beneficially own the number of shares held in CWA's customer accounts. Each of Fundamental Global Investors, LLC and Mr. Cerminara expressly disclaims such beneficial ownership.

Read SEC document
November 19, 2019 Filed Nov 22, 2019 02:45 UTC Other$15 Exercise Price Sponsor Warrant · Derivative 100,000 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001104659-19-066353 · tm1923666d1_4.xml · derivative · entry 4

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2023-07-20

F5 · derivative.exercise_price: Each $15 Exercise Price Sponsor Warrant is exercisable to purchase one share of common stock at an exercise price of $15.00 per share, subject to adjustment as described under the heading "Description of Securities--$15 Exercise Price Sponsor Warrants" in the Issuer's registration statement on Form S-1 (File No. 333-195695).

F1 · kind: Distribution from 1347 Investors LLC, of which the reporting person is a non-managing member.

F2 · ownership.nature: Represents securities held by Fund Management Group LLC, of which the reporting person is the managing member and controlling equity holder. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
November 19, 2019 Filed Nov 22, 2019 02:45 UTC OtherCommon Stock 98,757 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-066353 · tm1923666d1_4.xml · nonDerivative · entry 2

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 98,757

F1 · kind: Distribution from 1347 Investors LLC, of which the reporting person is a non-managing member.

F3 · ownership.nature: Represents securities held by FEA Pratt Family holdings LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
November 19, 2019 Filed Nov 22, 2019 02:45 UTC OtherCommon Stock 193,280 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-066353 · tm1923666d1_4.xml · nonDerivative · entry 1

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 198,280

F1 · kind: Distribution from 1347 Investors LLC, of which the reporting person is a non-managing member.

F2 · ownership.nature: Represents securities held by Fund Management Group LLC, of which the reporting person is the managing member and controlling equity holder. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

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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.