SWETS LARRY G JR

SEC source: 0001493152-24-015024 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Head of Merchant Banking

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 521,542

F1 · shares: Shares were purchased within the Fundamental Global, Inc. Employee Share Purchase Plan.

F4 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 370,000 have vested to date, but 94,054 withheld from the vested RSU for taxes) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 86,667 have vested to date, but 25,659 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of Parent Common Stock.

SEC source: 0001493152-24-012765 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Head of Merchant Banking

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 521,015

F1 · shares: Shares were purchased within the Fundamental Global, Inc. Employee Share Purchase Plan.

F4 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 370,000 have vested to date, but 94,054 withheld from the vested RSU for taxes) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 86,667 have vested to date, but 25,659 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of Parent Common Stock.

SEC source: 0001493152-24-010469 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Head of Merchant Banking

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 519,483

F1 · shares: Shares were purchased within the Fundamental Global, Inc. Employee Share Purchase Plan.

F4 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 370,000 have vested to date, but 94,054 withheld from the vested RSU for taxes) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 86,667 have vested to date, but 25,659 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of Parent Common Stock.

SEC source: 0001493152-24-008911 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Head of Merchant Banking

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 517,946

F1 · shares: Shares were purchased within the Fundamental Global, Inc. Employee Share Purchase Plan.

F4 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 370,000 have vested to date, but 94,054 withheld from the vested RSU for taxes) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 86,667 have vested to date, but 25,659 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of Parent Common Stock.

SEC source: 0001493152-24-008549 · ownership.xml · nonDerivative · entry 2

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: On January 3, 2024, Fundamental Global Inc. (f/k/a FG Financial Group, Inc., the "Parent"), FG Group LLC (the "Acquiror"), and FG Group Holdings Inc. (the "Company") entered into a Plan of Merger (the "Merger Agreement"), pursuant to which the Company merged with and into the Acquiror, with the Acquiror surviving the merger as a wholly owned subsidiary of the Parent (the "Merger"). On February 29, 2024, at approximately 4:05 PM Eastern time, the effective time of the Merger (the "Effective Time"), all of the outstanding shares of common stock of the Company ("Company Common Stock") were converted into shares of common stock of the Parent ("Parent Common Stock") on a 1:1 basis (the "Exchange Ratio") pursuant to the terms of the Merger Agreement.

F3 · price: Restricted Share Units (RSUs) granted as non-employee director compensation pursuant to the FG Group Holdings, Inc. 2017 Omnibus Equity Compensation Plan. Pursuant to the Merger Agreement, each RSU convertible into shares of Company Common Stock (a "Company RSU") that was outstanding immediately prior to the Effective Time, was converted into an RSU to acquire the number of shares of Parent Common Stock equal to the product of (i) the number of shares subject to such Company RSU as of immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio. Each assumed Company RSU will continue to be governed by the same terms and conditions, including vesting terms, as were applicable to such Company RSU immediately prior to the Effective Time.

SEC source: 0001493152-24-008549 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: On January 3, 2024, Fundamental Global Inc. (f/k/a FG Financial Group, Inc., the "Parent"), FG Group LLC (the "Acquiror"), and FG Group Holdings Inc. (the "Company") entered into a Plan of Merger (the "Merger Agreement"), pursuant to which the Company merged with and into the Acquiror, with the Acquiror surviving the merger as a wholly owned subsidiary of the Parent (the "Merger"). On February 29, 2024, at approximately 4:05 PM Eastern time, the effective time of the Merger (the "Effective Time"), all of the outstanding shares of common stock of the Company ("Company Common Stock") were converted into shares of common stock of the Parent ("Parent Common Stock") on a 1:1 basis (the "Exchange Ratio") pursuant to the terms of the Merger Agreement.

F2 · price: Disposed of pursuant to the Merger Agreement in exchange for a number of shares of Parent Common Stock equal to the product of (i) the number of shares of Company Common Stock owned as of immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio.

SEC source: 0001493152-24-008591 · ownership.xml · nonDerivative · entry 2

SWETS LARRY G JR · CIK 0001409891 · Head of Merchant Banking

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 537,069

F1 · price: On January 3, 2024, Fundamental Global Inc. (f/k/a FG Financial Group, Inc., the "Parent"), FG Group LLC (the "Acquiror"), and FG Group Holdings Inc. (the "Company") entered into a Plan of Merger (the "Merger Agreement"), pursuant to which the Company merged with and into the Acquiror, with the Acquiror surviving the merger as a wholly owned subsidiary of the Parent (the "Merger"). On February 29, 2024, at approximately 4:05 PM Eastern time, the effective time of the Merger (the "Effective Time"), all of the outstanding shares of common stock of the Company ("Company Common Stock") were converted into shares of common stock of the Parent ("Parent Common Stock") on a 1:1 basis (the "Exchange Ratio") pursuant to the terms of the Merger Agreement.

F4 · price: Received in the Merger in exchange for Restricted Share Units (RSUs) convertible into shares of Company Common Stock (a "Company RSU"). At the Effective Time, each Company RSU was converted into an RSU to acquire the number of shares of Parent Common Stock (a "Parent RSU") equal to the product of (i) the number of shares subject to such Company RSU as of immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio.

F5 · price: The Parent RSUs will vest in full on the first anniversary of the grant date, which was July 3, 2023, subject to continuous service through such vesting date.

SEC source: 0001493152-24-008591 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Head of Merchant Banking

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 516,236

F1 · price: On January 3, 2024, Fundamental Global Inc. (f/k/a FG Financial Group, Inc., the "Parent"), FG Group LLC (the "Acquiror"), and FG Group Holdings Inc. (the "Company") entered into a Plan of Merger (the "Merger Agreement"), pursuant to which the Company merged with and into the Acquiror, with the Acquiror surviving the merger as a wholly owned subsidiary of the Parent (the "Merger"). On February 29, 2024, at approximately 4:05 PM Eastern time, the effective time of the Merger (the "Effective Time"), all of the outstanding shares of common stock of the Company ("Company Common Stock") were converted into shares of common stock of the Parent ("Parent Common Stock") on a 1:1 basis (the "Exchange Ratio") pursuant to the terms of the Merger Agreement.

F2 · price: Received in the Merger in exchange for an equal number of shares of Company Common Stock.

F3 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 370,000 have vested to date, but 94,054 withheld from the vested RSU for taxes) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 86,667 have vested to date, but 25,659 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of Parent Common Stock.

SEC source: 0001493152-24-007520 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 554,639

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F1 · shares: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 have vested to date but 14,644 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-24-004715 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 552,934

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F1 · shares: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 have vested to date but 14,644 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-25-003853 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Head of Merchant Banking

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,382

F1 · shares: Represents shares purchased under Employee Share Purchase Plan.

F2 · balance_after: Effective October 31, 2024, Fundamental Global Inc went through one for twenty-five reverse split of its outstanding common shares.

SEC source: 0001493152-24-002628 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 551,422

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F1 · shares: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 have vested to date but 14,644 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-23-045472 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 550,064

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F1 · shares: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 have vested to date but 14,644 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-23-043551 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 548,416

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F1 · shares: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 have vested to date but 14,644 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-24-000275 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 549,827

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F1 · shares: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 have vested to date but 14,644 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-23-042082 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 546,719

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F1 · shares: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 have vested to date but 14,644 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-23-039135 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 545,241

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F1 · shares: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 have vested to date but 14,644 withheld from the vested RSU for taxes ) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-23-037641 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 543,604

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to the Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 shares have vested to date but 14,644 of such shares were withheld by the Company for tax purposes) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-23-035695 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,226

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date). RSUs vest in five annual equal installments, subject to continued service with the Company, beginning on the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-23-033253 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,133

F1 · kind: Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan.

F2 · balance_after: Includes 6,666 RSUs granted on December 15, 2017 under the Amended and Restated 2014 Equity Incentive Plan pursuant to the share-matching program (of which, 5,333 RSUs have vested to date) and 5,714 and 7,722 RSUs granted on August 22, 2018 and August 13, 2019, respectively, under the 2018 Equity Incentive Plan as director compensation (of which, 3,428 and 3,088 have vested to date, respectively). RSUs vest in five annual equal installments, subject to continued service with the Company, beginning on the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001493152-23-023879 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,499

F1 · shares: Restricted Share Units (RSUs) granted as non-employee director compensation pursuant to the 2017 Omnibus Equity Compensation Plan. These RSUs will vest in full on the first anniversary of the grant date, which was July 3, 2023, subject to continuous service through such vesting date.

SEC source: 0001493152-22-018715 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,666

F1 · shares: Restricted Stock Units (RSUs) granted as non-employee director compensation pursuant to the 2017 Omnibus Equity Compensation Plan. These RSUs will vest in full on the first anniversary of the grant date, July 1, 2022, subject to continuous service through such vesting date.

SEC source: 0001493152-22-017390 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,452

F2 · kind: Purchased in underwritten public offering.

F1 · balance_after: Includes 6,666 RSUs granted on December 15, 2017 under the Amended and Restated 2014 Equity Incentive Plan pursuant to the share-matching program (of which, 5,333 RSUs have vested to date) and 5,714 and 7,722 RSUs granted on August 22, 2018 and August 13, 2019, respectively, under the 2018 Equity Incentive Plan as director compensation (of which, 3,428 and 3,088 have vested to date, respectively). RSUs vest in five annual equal installments, subject to continued service with the Company, beginning on the first anniversary of the grant date. Each RSU represents a contingent right to receive one share of common stock of the Company.

SEC source: 0001104659-22-030233 · tm227721-10_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by FG Merger Investors LLC

Disclosed balance after: 55,000

F1 · kind: Consists of 55,000 of the Issuer's Private Placement Units, as described under the heading "Description of Securities" in the Issuer's registration statement on Form S-1 (File No. 333-262298), purchased by FG Merger Investors LLC for $10.00 per Private Placement Unit.

F2 · ownership.nature: Held by FG Merger Investors LLC (the "Sponsor"). Mr. Swets is one of the managers of the Sponsor who have voting and investment discretion with respect to the shares of common stock held of record by the Sponsor. Mr. Swets disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-022847 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001628280-21-017800 · wf-form4_163035926560471.xml · derivative · entry 4

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,200 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 RSU's was granted on 01/01/2021. The Company accelerated vesting of this RSU Award on August 26, 2021 in connection with the Reporting Person's resignation from the Board.

F4 · derivative.expiration_date: This award of RSU's was granted on 01/01/2021. The Company accelerated vesting of this RSU Award on August 26, 2021 in connection with the Reporting Person's resignation from the Board.

SEC source: 0001628280-21-017800 · wf-form4_163035926560471.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,200

Underlying: Common Stock · 2,134 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 RSU's was granted on 01/01/2020. The Company accelerated vesting of this RSU Award on August 26, 2021 in connection with the Reporting Person's resignation from the Board.

F3 · derivative.expiration_date: This award of RSU's was granted on 01/01/2020. The Company accelerated vesting of this RSU Award on August 26, 2021 in connection with the Reporting Person's resignation from the Board.

SEC source: 0001628280-21-017800 · wf-form4_163035926560471.xml · derivative · entry 2

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,334

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 RSU's was granted on 02/27/2019. The Company accelerated vesting of this RSU Award on August 26, 2021 in connection with the Reporting Person's resignation from the Board.

F2 · derivative.expiration_date: This award of RSU's was granted on 02/27/2019. The Company accelerated vesting of this RSU Award on August 26, 2021 in connection with the Reporting Person's resignation from the Board.

SEC source: 0001628280-21-017800 · wf-form4_163035926560471.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,000

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.

SEC source: 0001493152-21-020950 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,450

F1 · price: On August 12, 2021, as part of his annual director's compensation, Mr. Swets was granted 10,000 shares of common stock pursuant to the Company's 2020 Restricted Stock Plan, whereby equal installments of 2,500 shares vest on the last day of each calendar quarter, beginning on September 30, 2021.

SEC source: 0001104659-21-088700 · tm2121275d1_4.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F1 · shares: Represents 20,000 shares of Class A common stock included in 20,000 units purchased by Larry G. Swets, Jr. Each unit comprises one share of Class A common stock and one-half of one warrant.

F2 · price: The reporting person effected multiple same-way open market purchase transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one-dollar price range. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.40 to $11.50, inclusive. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001104659-21-046017 · tm2111933-3_4.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Represents 20,000 shares of Class A common stock included in 20,000 units purchased by Larry G. Swets, Jr. Each unit comprises one share of Class A common stock and one-half of one warrant.

F2 · price: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one-dollar price range. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.94 to $11.10, inclusive. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001104659-21-046626 · tm2112161-3_4aseq1.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Represents 20,000 shares of Class A common stock included in 20,000 units purchased by Larry G. Swets, Jr. Each unit comprises one share of Class A common stock and one-half of one warrant.

F2 · price: The reporting person effected multiple same-way open market purchase transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person reported on a single line all such transactions that occurred within a one-dollar price range. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.94 to $11.10, inclusive. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001493152-21-001357 · ownership.xml · nonDerivative · entry 1

SWETS LARRY G JR · CIK 0001409891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,450

SEC source: 0001493152-23-033253 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2023-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-23-035695 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2023-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-23-037641 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2023-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-23-039135 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2023-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-23-042082 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2023-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-23-043551 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2023-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-23-045472 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2023-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-24-000275 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2023-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-24-002628 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2031-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-24-004715 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2031-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001493152-24-007520 · ownership.xml · derivative · entry 3

SWETS LARRY G JR · CIK 0001409891 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2031-01-11

F3 · derivative.exercise_date: The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior.

SEC source: 0001628280-21-000068 · wf-form4_160988302158958.xml · derivative · entry 7

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

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 01/1/2021. 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 01/1/2021. 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.

SEC source: 0001628280-21-000068 · wf-form4_160988302158958.xml · derivative · entry 6

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

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 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.

SEC source: 0001628280-21-000068 · wf-form4_160988302158958.xml · derivative · entry 5

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

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 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.

SEC source: 0001628280-21-000068 · wf-form4_160988302158958.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,334

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 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.

F2 · 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.

SEC source: 0001628280-21-000068 · wf-form4_160988302158958.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,599

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.