0001144204-19-030088.txt : 20190606
0001144204-19-030088.hdr.sgml : 20190606
20190606154426
ACCESSION NUMBER: 0001144204-19-030088
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190604
FILED AS OF DATE: 20190606
DATE AS OF CHANGE: 20190606
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: 1347 Investors LLC
CENTRAL INDEX KEY: 0001612411
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36541
FILM NUMBER: 19882432
BUSINESS ADDRESS:
STREET 1: 150 PIERCE ROAD
STREET 2: 6TH FLOOR
CITY: ITASCA
STATE: IL
ZIP: 60143
BUSINESS PHONE: 847-700-8064
MAIL ADDRESS:
STREET 1: 150 PIERCE ROAD
STREET 2: 6TH FLOOR
CITY: ITASCA
STATE: IL
ZIP: 60143
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SWETS LARRY G JR
CENTRAL INDEX KEY: 0001409891
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36541
FILM NUMBER: 19882433
MAIL ADDRESS:
STREET 1: KINGSWAY FINANCIAL SERVICES INC.
STREET 2: 150 PIERCE ROAD, SUITE 600
CITY: ITASCA
STATE: IL
ZIP: 60143
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cerminara Kyle
CENTRAL INDEX KEY: 0001619991
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36541
FILM NUMBER: 19882434
MAIL ADDRESS:
STREET 1: C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
STREET 2: 4201 CONGRESS STREET, SUITE 140
CITY: CHARLOTTE
STATE: NC
ZIP: 28209
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Limbach Holdings, Inc.
CENTRAL INDEX KEY: 0001606163
STANDARD INDUSTRIAL CLASSIFICATION: CONSTRUCTION SPECIAL TRADE CONTRACTORS [1700]
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1251 WATERFRONT PLACE
STREET 2: SUITE 201
CITY: PITTSBURGH
STATE: PA
ZIP: 15222
BUSINESS PHONE: (412) 359-2100
MAIL ADDRESS:
STREET 1: 1251 WATERFRONT PLACE
STREET 2: SUITE 201
CITY: PITTSBURGH
STATE: PA
ZIP: 15222
FORMER COMPANY:
FORMER CONFORMED NAME: 1347 Capital Corp
DATE OF NAME CHANGE: 20140422
4
1
tv523217_form4.xml
FORM 4
X0306
4
2019-06-04
0
0001606163
Limbach Holdings, Inc.
LMB
0001612411
1347 Investors LLC
105 S. MAPLE
ITASCA
IL
60143
1
0
1
1
See Remarks
0001409891
SWETS LARRY G JR
105 S. MAPLE
ITASCA
IL
60143
1
0
1
0
0001619991
Cerminara Kyle
C/O FUNDAMENTAL GLOBAL INVESTORS, LLC
4201 CONGRESS STREET, SUITE 140
CHARLOTTE
NC
28209
1
0
1
0
Common Stock, $0.0001 par value
1298114
D
$11.50 Exercise Price Warrants
11.5
2019-06-04
4
J
0
43667
0
D
2016-08-19
2021-07-20
Common Stock
21833
154333
D
$15 Exercise Price Sponsor Warrant
15
2016-08-19
2023-07-20
Common Stock
500000
500000
D
The securities are held directly by 1347 Investors LLC ("1347 Investors"). Larry G. Swets, Jr. and D. Kyle Cerminara are each a manager of 1347 Investors and share voting and dispositive control over the securities held by 1347 Investors. Accordingly, Messrs. Swets and Cerminara may be deemed to share beneficial ownership over the securities held directly by 1347 Investors. Each of the Reporting Persons disclaims beneficial ownership of such securities except to the extent of its or his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the securities for purposes of Section 16 or for any other purpose.
Messrs. Swets and Cerminara each serve on the Board of Directors of the Issuer. Mr. Swets holds 13,198 shares of common stock of the Issuer, and Messrs. Swets and Cerminara hold 6,402 and 3,200 restricted stock units, respectively, granted by the Issuer. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock upon vesting.
In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, holds 7,080 shares of common stock for the accounts of individual investors. CWA, in its role as investment advisor for customer accounts, Fundamental Global Investors, LLC, as a 50% owner of CWA, and Mr. Cerminara, as manager of CWA, may each be deemed to beneficially own the number of shares held in CWA's customer accounts. Each of Fundamental Global Investors, LLC and Mr. Cerminara expressly disclaims such beneficial ownership.
Each $11.50 Exercise Price Warrant is exercisable to purchase one-half of one share of common stock at an exercise price of $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).
Represents a transfer of $11.50 Exercise Price Warrants pursuant to a Loan and Security Agreement, dated July 18, 2016, between 1347 Investors and American Service Insurance Company, Inc. ("ASIC"). 1347 Investors previously transferred 122,500 of the $11.50 Exercise Price Warrants to ASIC (as reported on a Form 4 filed on July 13, 2018).
Each $15 Exercise Price Sponsor Warrant is exercisable to purchase one share of common stock at an exercise price of $15.00 per share, subject to adjustment as described under the heading "Description of Securities--$15 Exercise Price Sponsor Warrants" in the Issuer's registration statement on Form S-1 (File No. 333-195695).
1347 Investors may be deemed a director by deputization as a result of Messrs. Swets and Cerminara, both managers of 1347 Investors, serving on the Board of Directors of the Issuer.
1347 INVESTORS LLC /s/ Larry G. Swets, Jr., Manager
2019-06-06
/s/ Larry G. Swets, Jr.
2019-06-06
/s/ D. Kyle Cerminara
2019-06-06