SEC Form 4 · accession 0000905148-16-002094
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jul 11, 2016
Accepted (ET)
Nov 21, 2016 · 10:33 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001512499
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.0001 par value per shareF4,F1,F3 | Jul 11, 2016 | S | 13,469 | $9.933 | D | 3,014,754 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF4,F2,F3 | Jul 11, 2016 | S | 2,940 | $9.933 | D | 2,860,797 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF5,F1,F3 | Jul 12, 2016 | S | 59,061 | $9.9912 | D | 2,955,693 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF5,F2,F3 | Jul 12, 2016 | S | 25,396 | $9.9912 | D | 2,835,401 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF6,F1,F3 | Jul 13, 2016 | S | 17,393 | $10.0032 | D | 2,938,300 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF6,F2,F3 | Jul 13, 2016 | S | 4,872 | $10.0032 | D | 2,830,529 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Jul 14, 2016 | S | 5,329 | $10.00 | D | 2,932,971 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF7,F1,F3 | Jul 15, 2016 | S | 52,000 | $9.9688 | D | 2,880,971 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF7,F2,F3 | Jul 15, 2016 | S | 21,918 | $9.9688 | D | 2,808,611 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Jul 18, 2016 | S | 3,177 | $9.95 | D | 2,877,794 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF8,F1,F3 | Jul 19, 2016 | S | 20,864 | $9.874 | D | 2,856,930 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF8,F2,F3 | Jul 19, 2016 | S | 6,582 | $9.874 | D | 2,802,029 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF9,F1,F3 | Jul 20, 2016 | S | 2,945 | $9.9034 | D | 2,853,985 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF10,F1,F3 | Jul 21, 2016 | S | 5,843 | $9.9016 | D | 2,848,142 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF11,F1,F3 | Jul 22, 2016 | S | 12,462 | $9.917 | D | 2,835,680 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF11,F2,F3 | Jul 22, 2016 | S | 2,444 | $9.917 | D | 2,799,585 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF12,F1,F3 | Jul 25, 2016 | S | 1,627 | $9.9271 | D | 2,834,053 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF13,F1,F3 | Jul 26, 2016 | S | 3,350 | $9.8211 | D | 2,830,703 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF14,F1,F3 | Jul 27, 2016 | S | 11,710 | $9.8074 | D | 2,818,993 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF14,F2,F3 | Jul 27, 2016 | S | 2,073 | $9.8074 | D | 2,797,512 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Jul 28, 2016 | S | 5,000 | $9.80 | D | 2,813,993 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF15,F1,F3 | Jul 29, 2016 | S | 55,017 | $9.914 | D | 2,758,976 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF15,F2,F3 | Jul 29, 2016 | S | 23,759 | $9.914 | D | 2,773,753 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of Common Stock ("Shares") are directly owned by Talas Shipping GmbH & Co. KG, for which each of the Reporting Persons serve as managing director.
- F10This price reflects the weighted average price for open-market sales of Shares on July 21, 2016, within a $1.00 range. The actual prices for these transactions range from $9.9 to $9.95, inclusive.
- F11This price reflects the weighted average price for open-market sales of Shares on July 22, 2016, within a $1.00 range. The actual prices for these transactions range from $9.9 to $9.97, inclusive.
- F12This price reflects the weighted average price for open-market sales of Shares on July 25, 2016, within a $1.00 range. The actual prices for these transactions range from $9.9 to $9.95, inclusive.
- F13This price reflects the weighted average price for open-market sales of Shares on July 26, 2016, within a $1.00 range. The actual prices for these transactions range from $9.8 to $9.9, inclusive.
- F14This price reflects the weighted average price for open-market sales of Shares on July 27, 2016, within a $1.00 range. The actual prices for these transactions range from $9.8 to $9.85, inclusive.
- F15This price reflects the weighted average price for open-market sales of Shares on July 29, 2016, within a $1.00 range. The actual prices for these transactions range from $9.8 to $9.96, inclusive.
- F2These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.
- F3Each Reporting Person disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F4This price reflects the weighted average price for open-market sales of Shares on July 11, 2016, within a $1.00 range. The actual prices for these transactions range from $9.90 to $9.94, inclusive. The Reporting Persons further undertake to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares sold at each separate price within the range set forth in footnotes (4) through (15).
- F5This price reflects the weighted average price for open-market sales of Shares on July 12, 2016, within a $1.00 range. The actual prices for these transactions range from $9.92 to $10.05, inclusive.
- F6This price reflects the weighted average price for open-market sales of Shares on July 13, 2016, within a $1.00 range. The actual prices for these transactions range from $10 to $10.05, inclusive.
- F7This price reflects the weighted average price for open-market sales of Shares on July 15, 2016, within a $1.00 range. The actual prices for these transactions range from $9.92 to $10.02, inclusive.
- F8This price reflects the weighted average price for open-market sales of Shares on July 19, 2016, within a $1.00 range. The actual prices for these transactions range from $9.87 to $9.95, inclusive.
- F9This price reflects the weighted average price for open-market sales of Shares on July 20, 2016, within a $1.00 range. The actual prices for these transactions range from $9.9 to $9.95, inclusive.