SEC Form 4 · accession 0001596771-16-000171
Limbach Holdings, Inc. · LMB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
FdG Capital Partners LLC
10% Owner
David S Gellman
Director · 10% Owner
FdG HVAC LLC
10% Owner
Period of report
Dec 12, 2016
Accepted (ET)
Dec 13, 2016 · 4:41 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 StockF2,F3 | Dec 12, 2016 | J | 12,455 | $0.00 | D | 1,731,355 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF2,F3 | $12.50 | Dec 12, 2016 | J | 3,779 | D | Aug 19, 2016 | Aug 19, 2023 | Common Stock | 529,101 | 525,322 | I |
| Warrant to Purchase Common StockF2,F3 | $11.50 | Dec 12, 2016 | J | 5,669 | D | Aug 19, 2016 | Aug 19, 2023 | Common Stock | 793,651 | 787,982 | I |
Explanation of responses
- F1The transactions reported represent pro rata distributions, and not purchases or sales of securities, by FdG HVAC LLC to its members without consideration.
- F2Represents securities received as pro rata distributions by FdG Capital Partners LLC as a member of FdG HVAC LLC. In prior reports, the securities were reported as directly held by FdG HVAC LLC.
- F3The securities are held directly by FdG Capital Partners LLC. Mr. Gellman is the sole member of the investment committee of the managing member of FdG Capital Partners LLC. Mr. Gellman disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.