SEC Form 4 · accession 0001144204-16-109565
Limbach Holdings, Inc. · LMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gordon G Pratt
Officer — President and CEO · Director
Period of report
Jun 21, 2016
Accepted (ET)
Jun 23, 2016 · 7:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001606163
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF4,F5,F1,F2,F3 | $11.50 | Jun 21, 2016 | P | 18,300 | A | — | — | Common Stock | 9,150 | 58,300 | I |
| WarrantsF6,F5,F1,F2,F3 | $11.50 | Jun 22, 2016 | P | 17,970 | A | — | — | Common Stock | 8,985 | 76,270 | I |
| WarrantsF5,F1,F2,F3 | $11.50 | Jun 23, 2016 | P | 10,000 | A | — | — | Common Stock | 5,000 | 86,270 | I |
Explanation of responses
- F1Each warrant is exercisable to purchase one-half of one share of Common Stock at $11.50 per whole share, subject to adjustment, as described under the heading "Description of Securities -Warrants included as part of units" in the Issuer's registration statement on Form S-1 (File No. 333-195695).
- F2The warrants become exercisable beginning on 30 days after the completion of the Issuer's initial business combination, as described under the heading "Description of Securities -Warrants included as part of units" in the Issuer's registration statement on Form S-1 (File No. 333-195695).
- F3The warrants expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation as described under the heading "Description of Securities -Warrants included as part of units" in the Issuer's registration statement on Form S-1 (File No. 333-195695).
- F4The price reported is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $0.30 to $0.32, inclusive. The reporting person undertakes to provide to 1347 Capital Corp., any security holder of 1347 Capital Corp., or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the ranges set forth in this footnote.
- F5The securities are held directly by Fund Management Group LLC ("FMG"). The reporting person is the managing member and controlling equity holder of FMG, and as such may be deemed to beneficially own all of the securities held directly by FMG.
- F6The price reported is a weighted average price. These warrants were purchased in multiple transactions at prices ranging from $0.29 to $0.30, inclusive. The reporting person undertakes to provide to 1347 Capital Corp., any security holder of 1347 Capital Corp., or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of warrants sold at each separate price within the ranges set forth in this footnote.