0001493152-23-037641.txt : 20231018 0001493152-23-037641.hdr.sgml : 20231018 20231018181142 ACCESSION NUMBER: 0001493152-23-037641 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231016 FILED AS OF DATE: 20231018 DATE AS OF CHANGE: 20231018 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: 001-36366 FILM NUMBER: 231333035 MAIL ADDRESS: STREET 1: 105 S. MAPLE ST. CITY: ITASCA STATE: IL ZIP: 60143 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FG Financial Group, Inc. CENTRAL INDEX KEY: 0001591890 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 461119100 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 104 S. WALNUT STREET STREET 2: UNIT 1A CITY: ITASCA STATE: IL ZIP: 60143 BUSINESS PHONE: (847)-773-1665 MAIL ADDRESS: STREET 1: 104 S. WALNUT STREET STREET 2: UNIT 1A CITY: ITASCA STATE: IL ZIP: 60143 FORMER COMPANY: FORMER CONFORMED NAME: 1347 Property Insurance Holdings, Inc. DATE OF NAME CHANGE: 20131113 4 1 ownership.xml X0508 4 2023-10-16 0 0001591890 FG Financial Group, Inc. FGF 0001409891 SWETS LARRY G JR FG FINANCIAL GROUP, INC. 104 S. WALNUT STREET, UNIT 1A ITASCA IL 60143 1 1 0 0 Chief Executive Officer 0 Common Stock, par value $0.01 per share 2023-10-16 4 J 0 1478 1.55 A 543604 D 8.00% Cumulative Preferred Stock, Series A, $25.00 par value 10000 D Stock option 3.38 2021-01-12 4 A 0 130000 0 A 2023-01-11 Common Stock 130000 130000 D Shares were purchased within the FG Financial Group, Inc. Employee Share Purchase Plan. Includes (i) 7,722 RSUs granted on August 13, 2019 under the 2018 Equity Incentive Plan as director compensation (of which 6,178 have vested to date), (ii) 370,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which none have vested as of the date hereof) pursuant to the Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSUs granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 shares have vested to date but 14,644 of such shares were withheld by the Company for tax purposes) for performance related to fiscal year 2022. Each RSU represents a contingent right to receive one share of common stock of the Company. The stock options become vested and fully exercisable in 20% increments on each anniversary of the grant date, provided that Mr. Swets remains in the continuous service of the Issuer through each applicable vesting date and that the Issuer's book value per share has increased by 15% or more as compared to the Issuer's book value per share as of the fiscal year end prior. /s/ Larry G. Swets, Jr. 2023-10-18