SEC Form 4/A · accession 0001144204-19-011764
Limbach Holdings, Inc. · LMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Charles A. Bacon III
Officer — President and CEO · Director
Period of report
Jan 1, 2018
Accepted (ET)
Mar 1, 2019 · 9:34 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4,F1,F2 | — | Jan 1, 2018 | M | 5,833 | D | — | — | Common Stock | 5,833 | 95,000 | D |
Explanation of responses
- F1Each 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.
- F2This award of RSUs was granted on 08/30/2017. The remaining RSUs vest equally on January 1, 2019 and January 1, 2020, subject to continued employment through the applicable vesting date.
- F3This Form 4 is being amended to correct information previously reported on a Form 4 filed June 1, 2018 (the "Initial Form 4") regarding the number of derivative securities beneficially owned following the transactions relating to the vesting of 5,833 RSUs, which reporting also affected the reporting of the number of derivative securities beneficially owned on subsequent Forms 4.
- F4The Initial Form 4 inadvertently excluded 83,333 RSUs granted on August 30, 2017 (the "August 2017 Award") from the number of derivative securities beneficially owned following the transactions. The August 2017 Award includes 50,000 RSUs that will vest upon the achievement of a specified target share price of the Company's common stock on the Nasdaq Capital Market or other applicable principal securities exchange on which the Company's shares are then listed between August 1, 2018 and August 1, 2021, subject to continued employment from August 1, 2017 through the later of July 31, 2019 and the date on which the Compensation Committee of the Board of Directors certifies the achievement of the performance goal.