SEC Form 4 · accession 0001144204-19-000427
Limbach Holdings, Inc. · LMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John T. Jordan Jr.
Officer — Chief Financial Officer
Period of report
Jan 1, 2019
Accepted (ET)
Jan 3, 2019 · 5:00 pm EST
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 StockF1 | Jan 1, 2019 | M | 2,000 | — | A | — | D | |
| Common StockF1 | Jan 1, 2019 | M | 666 | — | A | — | D | |
| Common Stock | Jan 1, 2019 | S | 995 | $3.68 | D | — | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Jan 1, 2019 | M | 2,000 | D | — | — | Common Stock | 2,000 | 14,666 | D |
| Restricted Stock UnitsF1,F3 | — | Jan 1, 2019 | M | 666 | D | — | — | Common Stock | 666 | 14,000 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of Limbach Holdings, Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).
- F2This award of RSUs was granted on 08/30/2017. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2018, January 1, 2019 and January 1, 2020, subject to continued employment through the applicable vesting date.
- F3This 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 employment through the applicable vesting date.
- F4Represents shares sold to cover withholding taxes due on vesting of the RSUs.