SEC Form 4 · accession 0001144204-16-128062

Limbach Holdings, Inc. · LMB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Operations Officer

Period of report

Oct 11, 2016

Accepted (ET)

Oct 13, 2016 · 9:00 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001606163

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Oct 11, 2016	J	108,989	—	D	100	I	See Footnote
Common Stock^F4,F3	Oct 11, 2016	J	2,045	—	A	2,145	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Merger Warrants (right to buy)^F1,F5	$12.50	Oct 11, 2016	J	33,069	D	Aug 19, 2016	Jul 20, 2023	Common Stock	33,069	0	I
Merger Warrants (right to buy)^F3,F5	$12.50	Oct 11, 2016	J	620	A	Aug 19, 2016	Jul 20, 2023	Common Stock	620	620	D
Additional Merger Warrants (right to buy)^F1,F6	$11.50	Oct 11, 2016	J	49,604	D	Aug 19, 2016	Jul 20, 2021	Common Stock	49,604	0	I
Additional Merger Warrants (right to buy)^F3,F6	$11.50	Oct 11, 2016	J	931	A	Aug 19, 2016	Jul 20, 2021	Common Stock	931	931	D

F1These reported securities were held directly by Limbach Management Holding Company, LLC ("LMHC"). The Reporting person held an equity interest in LMHC until LMHC's dissolution and liquidation. The Reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. These reported dispositions reflect the liquidation of LMHC's holdings following its dissolution.
F2These shares are held directly by the Reporting Person and were not held by LMHC.
F3Following LMHC's dissolution and liquidation, these securities, previously held directly by LMHC, were distributed pro rata to LMHC's equity holders.
F4938 of such shares are subject to certain transfer restrictions pursuant to a lockup agreement between the Reporting Person and the Issuer.
F5The warrants will expire seven years after the date on which they first became exercisable, at 5:00 p.m., New York time, or earlier upon liquidation.
F6The warrants will expire five years after the date on which they first became exercisable, at 5:00 p.m., New York time, or earlier upon redemption or liquidation.

See Exhibit 24.1 - Power of Attorney