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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Kingsway Financial Services Inc New | NYSE:KFS | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.03 | 0.33% | 9.15 | 9.215 | 9.12 | 9.20 | 1,629 | 14:52:12 |
Delaware
|
85-1792291
|
(State or Other Jurisdiction of Incorporation or Organization)
|
(I.R.S. Employer Identification No.)
|
|
|
150 Pierce Road, Suite 600
Itasca, Illinois
(Address of Principal Executive Offices)
|
60143
(Zip Code)
|
|
|
|
Large accelerated filer o
|
|
Accelerated filer o
|
Non-accelerated filer o
|
|
Smaller reporting company x
|
|
|
Emerging growth company o
|
Title of Securities
to be Registered
|
Amount to be
Registered(1)
|
Proposed Maximum Offering
Price Per Share(2)
|
Proposed Maximum
Aggregate Offering Price(2)
|
Amount of
Registration Fee(2)
|
Common Stock, par value $0.01 per share
|
1,600,000
|
$2.96
|
$4,736,000
|
$516.70
|
(1)
|
Pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement also covers an indeterminate number of additional shares of common stock, par value $0.01 per share (the “Common Stock”), of Kingsway Financial Services Inc. that may become issuable under the Kingsway Financial Services Inc. 2020 Equity Incentive Plan (the “2020 Plan”), by reason of any stock dividend, stock split, combination or exchange of shares of Common Stock, recapitalization or any other similar transaction.
|
(2)
|
Pursuant to Rule 457 under the Securities Act, the proposed maximum aggregate offering price and the registration fee are estimated based upon the average of the high and low sale prices of the Common Stock as reported on The New York Stock Exchange on September 30, 2020.
|
Item 3.
|
Incorporation of Documents by Reference.
|
Item 5.
|
Interests of Named Experts and Counsel.
|
Item 8.
|
Exhibits.
|
EXHIBIT NUMBER
|
|
DESCRIPTION
|
3.1
|
|
Certificate of Incorporation of the Registrant.*
|
3.2
|
|
By-laws of the Registrant.**
|
4.1
|
|
Form of Stock Certificate for the Registrant’s Common Stock.***
|
|
Opinion of Paul R. Hogan, Esq., Secretary and General Counsel of the Registrant.+
|
|
|
Kingsway Financial Services Inc. 2020 Equity Incentive Plan.+
|
|
23.1
|
|
Consent of Paul R. Hogan, Esq., Secretary and General Counsel of the Registrant (included in Exhibit 5.1).+
|
|
Consent of Plante & Moran, PLLC+
|
|
|
Consent of RSM US LLP+
|
|
24.1
|
|
Power of Attorney (included on signature page to this Registration Statement).+
|
*
|
Incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed with the SEC on December 31, 2018
|
**
|
Incorporated by reference to Exhibit 3.2 to the Registrant’s Current Report on Form 8-K filed with the SEC on December 31, 2018
|
***
|
Incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed with the SEC on December 31, 2018
|
+
|
Filed herewith.
|
Item 9.
|
Undertakings.
|
|
KINGSWAY FINANCIAL SERVICES INC.
|
|
|
|
|
|
|
|
By:
|
/s/ John T. Fitzgerald
|
|
|
|
Name: John T. Fitzgerald
|
|
|
|
Title: President and Chief Executive
Officer
|
|
|
|
|
|
Signature
|
|
Title
|
/s/ Terence M. Kavanagh
|
|
|
Terence M. Kavanagh
|
|
Chairman of the Board, Director
|
/s/ John T. Fitzgerald
|
|
|
John T. Fitzgerald
|
|
President and Chief Executive Officer and Director
|
|
|
(Principal Executive Officer)
|
/s/ Kent A. Hansen
|
|
|
Kent A. Hansen
|
|
Executive Vice President and Chief Financial Officer
|
|
|
(Principal Financial Officer and Accounting Officer)
|
/s/ Gregory P. Hannon
|
|
|
Gregory P. Hannon
|
|
Director
|
/s/ Doug Levine
|
|
|
Doug Levine
|
|
Director
|
/s/ Joseph D. Stilwell
|
|
|
Joseph D. Stilwell
|
|
Director
|
/s/ Corissa B. Porcelli
|
|
|
Corissa B. Porcelli
|
|
Director
|
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