0001104659-20-000984.txt : 20200103 0001104659-20-000984.hdr.sgml : 20200103 20200103172316 ACCESSION NUMBER: 0001104659-20-000984 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200101 FILED AS OF DATE: 20200103 DATE AS OF CHANGE: 20200103 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: 20506850 MAIL ADDRESS: STREET 1: KINGSWAY FINANCIAL SERVICES INC. STREET 2: 105 S. MAPLE ST. CITY: ITASCA STATE: IL ZIP: 60143 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 tm1928451d3_4.xml OWNERSHIP DOCUMENT X0306 4 2020-01-01 0 0001606163 Limbach Holdings, Inc. LMB 0001409891 SWETS LARRY G JR 105 S. MAPLE ST. ITASCA IL 60143 1 0 0 0 Common Stock 2020-01-01 4 M 0 1068 A 14266 D Common Stock 2020-01-01 4 M 0 1067 A 15333 D Common Stock 2020-01-01 4 M 0 1066 A 16399 D Common Stock 61770 I See Footnote Restricted Stock Units 2020-01-01 4 M 0 1068 0 D Common Stock 1068 5334 D Restricted Stock Units 2020-01-01 4 M 0 1067 0 D Common Stock 1067 4267 D Restricted Stock Units 2020-01-01 4 M 0 1066 0 D Common Stock 1066 3201 D Restricted Stock Units 2020-01-01 4 A 0 3200 0 A Common Stock 3200 6401 D Each 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. The securities are held directly by 1347 Investors LLC ("1347 Investors"). The Reporting Person is a manager of 1347 Investors and shares voting and dispositive control over the securities held by 1347 Investors. Accordingly, the Reporting Person may be deemed to share beneficial ownership over the securities held directly by 1347 Investors. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and this Report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. This 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 service through the applicable vesting date. This 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 service through the applicable vesting date. This award of RSUs was granted on 02/27/2019. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2020, January 1, 2021 and January 1, 2022, subject to continued service through the applicable vesting date. This award of RSUs was granted on 01/01/2020. The award is subject to service-based vesting conditions and vests in equal annual installments on each of January 1, 2021, January 1, 2022 and January 1, 2023, subject to continued service through the applicable vesting date. See Exhibit 24.1 - Power of Attorney /s/ Jeremiah G. Garvey, Attorney-in-Fact for Larry G. Swets, Jr. 2020-01-03 EX-24.1 2 tm1928451d3_ex24-1.htm EXHIBIT 24.1

 

Exhibit 24.1

 

POWER OF ATTORNEY

 

The undersigned constitutes and appoints Jeremiah G. Garvey, Seth H. Popick, Jayme L. Brooks and Charles A. Bacon, III, or any of them acting singly, as the undersigned’s true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution, for the undersigned and in the undersigned’s name, place and stead, to:

 

1.prepare, sign, and submit to the Securities and Exchange Commission (the “SEC”) on its Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) Filer Management website a Form ID application, including any amendments and exhibits thereto, and any other related documents as may be necessary or appropriate, to obtain from the SEC access codes to permit filing on the SEC’s EDGAR system, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each act and thing requisite and necessary to be done as required by any rule or regulation of the SEC and the EDGAR Filer Manual as fully and to all intents and purposes as the undersigned might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, and each of them, may lawfully do or cause to be done by virtue hereof; and

 

2.sign any and all SEC statements of beneficial ownership of securities of Limbach Holdings, Inc. on Forms 3, 4 and 5 as required under Section 16(a) of the Securities Exchange Act of 1934, as amended, and any amendments thereto, and to file the same with all exhibits thereto, and other documents in connection therewith, with the SEC, the Company and any stock exchange on which any of the Company’s securities are listed, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each act and thing requisite and necessary to be done under said Section 16(a), as fully and to all intents and purposes as the undersigned might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, and each of them, may lawfully do or cause to be done by virtue hereof.

 

A copy of this power of attorney shall be filed with the SEC. The authorization set forth above shall continue in full force and effect until the undersigned revokes such authorization by written instructions to the attorneys-in-fact.

 

The authority granted hereby shall in no event be deemed to impose or create any duty on behalf of the attorneys-in-fact with respect to the undersigned’s obligations to file a Form ID and Forms 3, 4 and 5 with the SEC.

 

 

 

Dated: January 3, 2020

 

  /s/ Larry G. Swets, Jr.  
  Larry G. Swets, Jr.