Statement of Changes in Beneficial Ownership (4)
September 24 2020 - 4:27PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
1347 Investors LLC |
2. Issuer Name and Ticker or Trading Symbol
Limbach Holdings, Inc.
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LMB
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
105 S. MAPLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/22/2020 |
(Street)
ITASCA, IL 60143
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $0.0001 par value | 9/22/2020 | | S | | 7000 | D | $8.7168 | 54770 | D (1)(2) | |
Common Stock, $0.0001 par value | 9/23/2020 | | S | | 115 | D | $8.50 | 54655 | D (1)(2) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The securities are held directly by 1347 Investors LLC ("1347 Investors"). Larry G. Swets, Jr. is a manager of 1347 Investors with share voting and dispositive control over the securities held by 1347 Investors. Accordingly, Mr. Swets may be deemed to share beneficial ownership over the securities held directly by 1347 Investors. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. |
(2) | Mr. Swets serves on the Board of Directors of the Issuer. Mr. Swets holds 16,399 shares of common stock of the Issuer, and Mr. Swets holds 6,401 restricted stock units granted by the Issuer. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock upon vesting. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
1347 Investors LLC 105 S. MAPLE ITASCA, IL 60143 | X |
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| See Remarks |
SWETS LARRY G JR 105 S. MAPLE ITASCA, IL 60143 | X | X |
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Signatures
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1347 INVESTORS LLC /s/ Larry G. Swets, Jr., Manager | | 9/24/2020 |
**Signature of Reporting Person | Date |
/s/ Larry G. Swets, Jr. | | 9/24/2020 |
**Signature of Reporting Person | Date |
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