Filing Details





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The Reporting Persons are filing this Amendment No. 1 to the Schedule 13D (“Amendment No. 1”) to amend and supplement the original Schedule 13D filed on April 17, 2017 (the “13D Filing”).  The purpose of this Amendment No. 1 is to expand and supplement the Reporting Persons’ disclosures under Items 3, 5 and 7 to reflect the sale of shares of common stock on September 7, 2018 pursuant to a stock purchase agreement, dated August 31, 2018 (the “Stock Purchase Agreement”), with ICC Holdings, Inc.  Capitalized terms used and not defined in this Amendment No. 1 have the meanings ascribed to such terms in the 13D Filing.  Except as specifically amended and supplemented by this Amendment No. 1, the 13D Filing remains in full force and effect.



Item  3.         Source or Amount of Funds  or Other Consideration.



Item 3 is hereby amended to add the following paragraph:



The Reporting Persons sold 147,541 shares of Common Stock to the Issuer for an aggregate purchase price of $2,250,000.25 ($15.25 per share) pursuant to the Stock Purchase Agreement.  As of the date hereof, the Reporting Persons hold 452,459 shares of Common Stock.



Item  5.         Interest in Securities of  the Issuer.



Items 5 (a) - (c) are hereby amended and restated to read as follows:



(a) - (c)



The Reporting Persons may be deemed to  beneficially own, in the aggregate, 452,459 shares of Common Stock, representing approximately 12.9% of the  Issuer’s issued and outstanding shares of Common Stock, based on 3,500,000 shares of Common Stock of the Issuer issued and outstanding as of August 9,2018, as set forth in the Issuer’s Quarterly Report on Form 10-Q  for the period ended June 30, 2018, filed with the SEC on August 14, 2018.



Mr. Clinton,  through his individual retirement account (“IRA”), has the sole power to vote  or direct the vote and the power to  dispose or direct the  disposition of 76,459 shares of Common Stock. Mrs. Clinton, as trustee of  (1) R. Kevin Clinton Irrevocable Trust for Avery Anne Clinton under agreement  dated December 13, 2012, (2) R. Kevin Clinton Irrevocable Trust for Connor Richard Clinton under agreement dated December 13, 2012, (3) R. Kevin  Clinton Irrevocable Trust for Colleen Casey Clinton under agreement dated December 13, 2012, (4) R. Kevin Clinton Irrevocable Trust for Ryan Kevin  Clinton under agreement dated December 13, 2012, and (5) Marilyn J. Clinton Trust Agreement dated August 29, 2001, has the sole power to vote  or direct  the vote and the power to  dispose or direct the disposition of 376,000 shares of Common Stock. In addition, the Reporting Persons expect to consult with  each other  regarding voting and disposition of shares.



No transactions were effected in the Common Stock within the past 60 days by the Reporting Persons except for the acquisition described in Item 3.





Item  7.         Material to Be Filed as Exhibits.



Exhibit 1      Joint Filing Agreement



Exhibit 2      Purchase Agreement dated September 7, 2016, incorporated by reference to the Issuer’s Form S-1 filed on October 13, 2016, as amended (SEC File No. 333-214081).



Exhibit 3Stock Purchase Agreement, dated August 31, 2018, by and between ICC Holdings, Inc. and certain entities and individuals identified on Annex A thereto.

 



SIGNATURE



After  reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is  true,  complete and  correct.





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Exhibit 1

Joint Filing Agreement

The undersigned hereby agree that the statements on Amendment No. 1 to the Schedule 13D, dated as of the date hereof (the “Statement”), with respect to the Common Stock, par value $0.01 per share, of ICC Holdings, Inc., a Pennsylvania corporation, is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, and that this Joint Filing Agreement shall be included as an exhibit to the Statement and each such amendment. Each of the undersigned agrees to be responsible for the timely filing of the Schedule 13D and any amendments thereto, and for the completeness and accuracy of the information concerning itself contained therein. This Joint Filing Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.

IN WITNESS WHEREOF, the undersigned have executed this Joint Filing Agreement as of the 12th day of September, 2018.

 



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