4//SEC Filing
MOGLIA JOSEPH H 4
Accession 0001641172-25-022840
CIK 0001591890other
Filed
Aug 7, 8:00 PM ET
Accepted
Aug 8, 5:50 PM ET
Size
14.2 KB
Accession
0001641172-25-022840
Insider Transaction Report
Form 4
MOGLIA JOSEPH H
10% Owner
Transactions
- Award
Pre-Funded Common Stock Purchase Warrant
2025-08-04$4.99/sh+200,000$998,000→ 200,000 total(indirect: By LLC)Exercise: $0.00→ Common Stock (200,000 underlying) - Award
Pre-Funded Common Stock Purchase Warrant
2025-08-04$4.99/sh+100,000$499,000→ 100,000 total(indirect: By LLC)Exercise: $0.00→ Common Stock (100,000 underlying)
Holdings
- 329,965(indirect: By LLC)
Common Stock
- 78,131(indirect: By LLC)
8.00% Cumulative Preferred Stock, Series A, $25.00 par value
Cerminara Kyle
DirectorCEO and Chairman10% Owner
Transactions
- Award
Pre-Funded Common Stock Purchase Warrant
2025-08-04$4.99/sh+100,000$499,000→ 100,000 total(indirect: By LLC)Exercise: $0.00→ Common Stock (100,000 underlying) - Award
Pre-Funded Common Stock Purchase Warrant
2025-08-04$4.99/sh+200,000$998,000→ 200,000 total(indirect: By LLC)Exercise: $0.00→ Common Stock (200,000 underlying)
Holdings
- 329,965(indirect: By LLC)
Common Stock
- 78,131(indirect: By LLC)
8.00% Cumulative Preferred Stock, Series A, $25.00 par value
Fundamental Global GP, LLC
10% Owner
Transactions
- Award
Pre-Funded Common Stock Purchase Warrant
2025-08-04$4.99/sh+100,000$499,000→ 100,000 total(indirect: By LLC)Exercise: $0.00→ Common Stock (100,000 underlying) - Award
Pre-Funded Common Stock Purchase Warrant
2025-08-04$4.99/sh+200,000$998,000→ 200,000 total(indirect: By LLC)Exercise: $0.00→ Common Stock (200,000 underlying)
Holdings
- 329,965(indirect: By LLC)
Common Stock
- 78,131(indirect: By LLC)
8.00% Cumulative Preferred Stock, Series A, $25.00 par value
Footnotes (3)
- [F1]The holding companies managed by Fundamental Global GP, LLC ("FGGP"), including FG Financial Holdings LLC ("FGFH") and Fundamental Global Holdings LLC ("FGHL"), beneficially own in the aggregate 78,131 shares of the Issuer's preferred stock, 329,965 shares of the Issuer's common stock, and 300,000 of the Issuer's pre-funded common stock purchase warrants. FGGP may be deemed to be a beneficial owner of the securities disclosed as directly owned by FGFH and FGHL. Due to their positions with FGGP and affiliated entities, Messrs. D. Kyle Cerminara and Joseph H. Moglia may be deemed to be beneficial owners of the securities disclosed as directly owned by FGFH and FGHL. Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Preferred Stock and common stock beneficially owned by FGGP except to the extent of his or its pecuniary interest therein.
- [F2]Exercise subject to the latter of the (i) effectiveness of articles of amendment to the Company's amended and restated articles of incorporation to increase authorized shares to 1,000,000,000 and (ii) 21st day following final information statement for Nasdaq Rule 5635(d) approval (the "Initial Exercise Date").
- [F3]No expiration until exercised in full; exercise price pre-funded.
Documents
Issuer
Fundamental Global Inc.
CIK 0001591890
Entity typeother
Related Parties
1- filerCIK 0001187586
Filing Metadata
- Form type
- 4
- Filed
- Aug 7, 8:00 PM ET
- Accepted
- Aug 8, 5:50 PM ET
- Size
- 14.2 KB