0001493152-23-043551.txt : 20231204
0001493152-23-043551.hdr.sgml : 20231204
20231204160021
ACCESSION NUMBER: 0001493152-23-043551
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231201
FILED AS OF DATE: 20231204
DATE AS OF CHANGE: 20231204
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: 231462913
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
2023-12-01
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
2023-12-01
4
J
0
1697
1.35
A
548416
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 Equity Award Letter Agreement dated January 18, 2021, and (iii) 130,000 RSU granted on February 17, 2023 under the 2021 Equity Incentive Plan (of which 43,334 have vested to date but 14,644 withheld from the vested RSU for taxes ) 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.
2023-12-04