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, 2023 Filed Jan 4, 2023 18:31 UTC Exercise / conversionCommon Stock 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000326 · wf-form4_167287507651203.xml · nonDerivative · entry 1

McNally Michael F · CIK 0001667559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,566

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC Exercise / conversionRestricted Stock Units · Derivative 8,876 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000310 · wf-form4_167287417872453.xml · derivative · entry 7

Horowitz Joshua · CIK 0001612424 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,067

Underlying: Common Stock · 8,876 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.

F2 · 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 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023.

F5 · derivative.expiration_date: This award of RSUs was granted on 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000310 · wf-form4_167287417872453.xml · derivative · entry 6

Horowitz Joshua · CIK 0001612424 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,943

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.

F2 · 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 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date.

F4 · derivative.expiration_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000310 · wf-form4_167287417872453.xml · derivative · entry 5

Horowitz Joshua · CIK 0001612424 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,010

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.

F2 · 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 RSU's was granted on 04/03/2020. The award is subject to service-based vesting conditions and vests 27.241732% on January 1, 2021 and 36.379134% on each of January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

F3 · derivative.expiration_date: This award of RSU's was granted on 04/03/2020. The award is subject to service-based vesting conditions and vests 27.241732% on January 1, 2021 and 36.379134% on each of January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC Exercise / conversionCommon Stock 8,876 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000310 · wf-form4_167287417872453.xml · nonDerivative · entry 3

Horowitz Joshua · CIK 0001612424 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,942

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC Exercise / conversionCommon Stock 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000310 · wf-form4_167287417872453.xml · nonDerivative · entry 2

Horowitz Joshua · CIK 0001612424 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,066

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC Exercise / conversionCommon Stock 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000310 · wf-form4_167287417872453.xml · nonDerivative · entry 1

Horowitz Joshua · CIK 0001612424 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,999

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 3,631 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · derivative · entry 11

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,596

Underlying: Common Stock · 3,631 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.

F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock, exempt under Rule 16b-3.

F8 · derivative.exercise_date: This award of RSUs was granted on 01/01/2022. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2023, January 1, 2024 and January 1, 2025, 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 RSU's will be reported on a Form 4 within two business days of the date of such determination.

F8 · derivative.expiration_date: This award of RSUs was granted on 01/01/2022. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2023, January 1, 2024 and January 1, 2025, 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 RSU's will be reported on a Form 4 within two business days of the date of such determination.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 3,333 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · derivative · entry 10

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,227

Underlying: Common Stock · 3,333 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.

F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock, exempt under Rule 16b-3.

F7 · derivative.exercise_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, 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 RSU's will be reported on a Form 4 within two business days of the date of such determination.

F7 · derivative.expiration_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, 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 RSU's will be reported on a Form 4 within two business days of the date of such determination.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 3,334 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · derivative · entry 9

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,560

Underlying: Common Stock · 3,334 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.

F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's 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 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.

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 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, 2023 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Tax withholdingCommon Stock 4,393 $10.41 $45,731.13
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · nonDerivative · entry 6

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,185

F1 · shares: Reflects the withholding of 5,140 shares by Limbach Holdings, Inc. (the "Company") to satisfy tax withholding requirements. Such transactions were exempt from Section 16(b) pursuant to Rule 16b-3.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Exercise / conversionCommon Stock 3,631 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · nonDerivative · entry 5

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,578

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Exercise / conversionCommon Stock 3,333 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · nonDerivative · entry 4

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,947

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Exercise / conversionCommon Stock 3,334 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · nonDerivative · entry 3

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,614

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:17 UTC Exercise / conversionRestricted Stock Units · Derivative 8,876 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000312 · wf-form4_167287423005254.xml · derivative · entry 6

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,067

Underlying: Common Stock · 8,876 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 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023.

F4 · derivative.expiration_date: This award of RSUs was granted on 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:17 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000312 · wf-form4_167287423005254.xml · derivative · entry 5

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,943

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 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date

F3 · derivative.expiration_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:17 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000312 · wf-form4_167287423005254.xml · derivative · entry 4

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,010

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 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.

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 service through the applicable vesting date.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:17 UTC Exercise / conversionCommon Stock 8,876 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000312 · wf-form4_167287423005254.xml · nonDerivative · entry 3

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,609

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:17 UTC Exercise / conversionCommon Stock 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000312 · wf-form4_167287423005254.xml · nonDerivative · entry 2

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,733

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:17 UTC Exercise / conversionCommon Stock 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000312 · wf-form4_167287423005254.xml · nonDerivative · entry 1

Krzeminski Laurel J · CIK 0001493187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,666

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionRestricted Stock Units · Derivative 8,876 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000308 · wf-form4_167287410616422.xml · derivative · entry 6

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,067

Underlying: Common Stock · 8,876 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 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023.

F4 · derivative.expiration_date: This award of RSUs was granted on 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000308 · wf-form4_167287410616422.xml · derivative · entry 5

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,943

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 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date.

F3 · derivative.expiration_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000308 · wf-form4_167287410616422.xml · derivative · entry 4

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,010

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 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.

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 service through the applicable vesting date.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionCommon Stock 8,876 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000308 · wf-form4_167287410616422.xml · nonDerivative · entry 3

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,709

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionCommon Stock 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000308 · wf-form4_167287410616422.xml · nonDerivative · entry 2

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,833

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionCommon Stock 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000308 · wf-form4_167287410616422.xml · nonDerivative · entry 1

Young Norbert W. · CIK 0001679800 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,766

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 8,547 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000309 · wf-form4_167287415645311.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,983

Underlying: Common Stock · 8,547 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.

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock, exempt under Rule 16b-3.

F5 · derivative.exercise_date: This award of RSUs was granted on 01/01/2022. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2023, January 1, 2024 and January 1, 2025, 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 RSU's 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 01/01/2022. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2023, January 1, 2024 and January 1, 2025, 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 RSU's will be reported on a Form 4 within two business days of the date of such determination.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 3,889 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000309 · wf-form4_167287415645311.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,530

Underlying: Common Stock · 3,889 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.

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock, exempt under Rule 16b-3.

F4 · derivative.exercise_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, 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 RSU's will be reported on a Form 4 within two business days of the date of such determination.

F4 · derivative.expiration_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, 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 RSU's will be reported on a Form 4 within two business days of the date of such determination.

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January 01, 2023 Filed Jan 4, 2023 23:16 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionRestricted Stock Units · Derivative 5,834 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000309 · wf-form4_167287415645311.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,419

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.

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock, exempt under Rule 16b-3.

F3 · 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.

F3 · 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.

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January 01, 2023 Filed Jan 4, 2023 23:16 UTC
Bacon Charles A. IIIDirector · President and CEO
Tax withholdingCommon Stock 7,616 $10.41 $79,282.56
Disclosure

SEC source: 0001628280-23-000309 · wf-form4_167287415645311.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,313

F1 · shares: Reflects the withholding of 7,616 shares by Limbach Holdings, Inc. (the "Company") to satisfy tax withholding requirements. Such transaction was exempt from Section 16(b) pursuant to Rule 16b-3.

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January 01, 2023 Filed Jan 4, 2023 23:16 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionCommon Stock 8,547 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000309 · wf-form4_167287415645311.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 462,929

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionCommon Stock 3,889 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000309 · wf-form4_167287415645311.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 454,382

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:16 UTC
Bacon Charles A. IIIDirector · President and CEO
Exercise / conversionCommon Stock 5,834 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000309 · wf-form4_167287415645311.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,493

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionRestricted Stock Units · Derivative 8,876 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000307 · wf-form4_167287408156910.xml · derivative · entry 8

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,067

Underlying: Common Stock · 8,876 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.

F3 · 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 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023.

F6 · derivative.expiration_date: This award of RSUs was granted on 01/01/2022. The RSUs are scheduled to cliff vest on January 1, 2023.

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January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000307 · wf-form4_167287408156910.xml · derivative · entry 7

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,943

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.

F3 · 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 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date.

F5 · derivative.expiration_date: This award of RSUs was granted on 01/01/2021. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2022, January 1, 2023 and January 1, 2024, subject to continued service through the applicable vesting date.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionRestricted Stock Units · Derivative 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000307 · wf-form4_167287408156910.xml · derivative · entry 6

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,010

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.

F3 · 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, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionCommon Stock 8,876 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000307 · wf-form4_167287408156910.xml · nonDerivative · entry 3

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,809

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionCommon Stock 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000307 · wf-form4_167287408156910.xml · nonDerivative · entry 2

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,933

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.

Read SEC document
January 01, 2023 Filed Jan 4, 2023 23:15 UTC Exercise / conversionCommon Stock 1,067 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000307 · wf-form4_167287408156910.xml · nonDerivative · entry 1

PRATT GORDON G · CIK 0001409889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,866

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.

Read SEC document
December 31, 2022 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 2,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · derivative · entry 8

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,894

Underlying: Common Stock · 2,000 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.

F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Company's common stock, exempt under Rule 16b-3.

F4 · derivative.exercise_date: This award of RSUs was granted on October 1, 2019. 42,215 shares of common stock subject to this award are subject to service-based vesting conditions and vest on the one-year anniversary of the grant date, subject to continued service through such vesting date. 6,000 shares of common stock subject to this award are subject to service-based vesting conditions and vest in equal annual installments on each of December 31, 2020, 2021 and 2022, subject to continued service through such vesting date.

F4 · derivative.expiration_date: This award of RSUs was granted on October 1, 2019. 42,215 shares of common stock subject to this award are subject to service-based vesting conditions and vest on the one-year anniversary of the grant date, subject to continued service through such vesting date. 6,000 shares of common stock subject to this award are subject to service-based vesting conditions and vest in equal annual installments on each of December 31, 2020, 2021 and 2022, subject to continued service through such vesting date.

F5 · balance_after: Reflects the cancellation of 6,000 RSUs subject to vesting upon the achievement of certain performance milestones.

Read SEC document
December 31, 2022 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Tax withholdingCommon Stock 747 $10.41 $7,776.27
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · nonDerivative · entry 2

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,280

F1 · shares: Reflects the withholding of 5,140 shares by Limbach Holdings, Inc. (the "Company") to satisfy tax withholding requirements. Such transactions were exempt from Section 16(b) pursuant to Rule 16b-3.

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December 31, 2022 Filed Jan 4, 2023 23:18 UTC
Brooks Jayme L.Chief Financial Officer
Exercise / conversionCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001628280-23-000314 · wf-form4_167287429077121.xml · nonDerivative · entry 1

Brooks Jayme L. · CIK 0001447591 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,027

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.

Read SEC document
November 22, 2022 Filed Nov 22, 2022 17:30 UTC PurchaseCommon Stock 2,127 $10.48 $22,287.34
Disclosure

SEC source: 0001104659-22-121330 · tm2231218-1_4seq1.xml · nonDerivative · entry 3

Horowitz Joshua · CIK 0001612424 · Director

Palm Management (US) LLC · CIK 0001726497 · Director

Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director

Palmer Bradley C · CIK 0001726523 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Palm Global Small Cap Master Fund LP

Disclosed balance after: 256,672

F7 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.41 to $10.50 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein.

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November 21, 2022 Filed Nov 22, 2022 17:30 UTC PurchaseCommon Stock 710 $9.52 $6,758.63
Disclosure

SEC source: 0001104659-22-121330 · tm2231218-1_4seq1.xml · nonDerivative · entry 2

Horowitz Joshua · CIK 0001612424 · Director

Palm Management (US) LLC · CIK 0001726497 · Director

Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director

Palmer Bradley C · CIK 0001726523 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Palm Global Small Cap Master Fund LP

Disclosed balance after: 254,545

F6 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.25 to $9.55 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein.

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November 18, 2022 Filed Nov 22, 2022 17:30 UTC PurchaseCommon Stock 4,000 $9.24 $36,949.60
Disclosure

SEC source: 0001104659-22-121330 · tm2231218-1_4seq1.xml · nonDerivative · entry 1

Horowitz Joshua · CIK 0001612424 · Director

Palm Management (US) LLC · CIK 0001726497 · Director

Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director

Palmer Bradley C · CIK 0001726523 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Palm Global Small Cap Master Fund LP

Disclosed balance after: 253,835

F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.17 to $9.25 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein.

Read SEC document
June 01, 2022 Filed Jun 1, 2022 18:01 UTC
Palmer Bradley CDirector by Deputization
PurchaseCommon Stock 6,315 $5.93 $37,421.43
Disclosure

SEC source: 0001104659-22-067227 · tm2217524-1_4seq1.xml · nonDerivative · entry 1

Horowitz Joshua · CIK 0001612424 · Director

Palm Management (US) LLC · CIK 0001726497 · Director

Palm Global Small Cap Master Fund LP · CIK 0001726444 · Director

Palmer Bradley C · CIK 0001726523 · Director by Deputization

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Palm Global Small Cap Master Fund LP

Disclosed balance after: 249,835

F5 · price: The price reported represents a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.85 to $5.95 per share. The Reporting Persons undertake to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price.

F1 · balance_after: The reported shares are owned directly by Palm Global Small Cap Master Fund LP (the "Fund"). Palm Management (US) LLC ("Palm Management"), as the investment manager of the Fund, may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his positions with the Fund and Palm Management, Mr. Joshua S. Horowitz may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Due to his position with Palm Management, Mr. Bradley C. Palmer may be deemed to be a beneficial owner of the shares of common stock disclosed as directly owned by the Fund. Messrs. Palmer and Horowitz disclaim beneficial ownership of these shares except to the extent of their respective pecuniary interest therein.

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May 27, 2022 Filed May 31, 2022 20:33 UTC
Bacon Charles A. IIIDirector · President and CEO
PurchaseCommon Stock 4,384 $5.70 $24,988.80
Disclosure

SEC source: 0001628280-22-015748 · wf-form4_165402918618530.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,659

Read SEC document
May 24, 2022 Filed May 25, 2022 20:36 UTC PurchaseCommon Stock 1,000 $5.64 $5,640.00
Disclosure

SEC source: 0001628280-22-015365 · wf-form4_165351094970277.xml · nonDerivative · entry 2

Horowitz Joshua · CIK 0001612424 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,932

Read SEC document
May 24, 2022 Filed May 26, 2022 16:32 UTC PurchaseCommon Stock 7,000 $5.69 $39,830.00
Disclosure

SEC source: 0001628280-22-015478 · wf-form4_165359714930428.xml · nonDerivative · entry 1

ALVARADO LINDA G · CIK 0001122788 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,473

Read SEC document
May 23, 2022 Filed May 25, 2022 20:36 UTC PurchaseCommon Stock 2,000 $5.85 $11,700.00
Disclosure

SEC source: 0001628280-22-015365 · wf-form4_165351094970277.xml · nonDerivative · entry 1

Horowitz Joshua · CIK 0001612424 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,932

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.