SEC Form 4 · accession 0000905148-16-002095
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 1, 2016
Accepted (ET)
Nov 21, 2016 · 10:34 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 | Aug 1, 2016 | S | 38,159 | $9.9476 | D | 2,720,817 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF4,F2,F3 | Aug 1, 2016 | S | 15,329 | $9.9476 | D | 2,758,424 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF5,F1,F3 | Aug 2, 2016 | S | 9,413 | $9.9747 | D | 2,711,404 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF5,F2,F3 | Aug 2, 2016 | S | 957 | $9.9747 | D | 2,757,467 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF6,F1,F3 | Aug 3, 2016 | S | 1,249 | $9.8706 | D | 2,710,155 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Aug 4, 2016 | S | 1,093 | $9.95 | D | 2,709,062 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF7,F1,F3 | Aug 5, 2016 | S | 31,903 | $9.8574 | D | 2,677,159 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF7,F2,F3 | Aug 5, 2016 | S | 12,202 | $9.8574 | D | 2,745,265 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF8,F1,F3 | Aug 8, 2016 | S | 10,445 | $9.4796 | D | 2,666,714 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF8,F2,F3 | Aug 8, 2016 | S | 1,473 | $9.4796 | D | 2,743,792 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Aug 10, 2016 | S | 3,934 | $9.20 | D | 2,662,780 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF9,F1,F3 | Aug 11, 2016 | S | 9,052 | $9.2066 | D | 2,653,728 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF9,F2,F3 | Aug 11, 2016 | S | 776 | $9.2066 | D | 2,743,016 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Aug 12, 2016 | S | 1,217 | $9.20 | D | 2,652,511 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Aug 15, 2016 | S | 3,000 | $9.25 | D | 2,649,511 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF10,F1,F3 | Aug 17, 2016 | S | 10,000 | $8.7174 | D | 2,639,511 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF11,F1,F3 | Aug 18, 2016 | S | 10,000 | $8.7048 | D | 2,629,511 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF12,F1,F3 | Aug 19, 2016 | S | 10,000 | $8.7848 | D | 2,619,511 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF13,F1,F3 | Aug 22, 2016 | S | 10,000 | $8.7998 | D | 2,609,511 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF14,F1,F3 | Aug 23, 2016 | S | 10,000 | $8.8811 | D | 2,599,511 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF15,F1,F3 | Aug 24, 2016 | S | 10,000 | $8.9391 | D | 2,589,511 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF16,F1,F3 | Aug 25, 2016 | S | 10,000 | $9.0008 | D | 2,579,511 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF17,F1,F3 | Aug 26, 2016 | S | 10,000 | $9.0058 | D | 2,569,511 | 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 August 17, 2016, within a $1.00 range. The actual prices for these transactions range from $8.63 to $8.8, inclusive.
- F11This price reflects the weighted average price for open-market sales of Shares on August 18, 2016, within a $1.00 range. The actual prices for these transactions range from $8.51 to $8.8, inclusive.
- F12This price reflects the weighted average price for open-market sales of Shares on August 19, 2016, within a $1.00 range. The actual prices for these transactions range from $8.71 to $8.85, inclusive.
- F13This price reflects the weighted average price for open-market sales of Shares on August 22, 2016, within a $1.00 range. The actual prices for these transactions range from $8.73 to $8.89, inclusive.
- F14This price reflects the weighted average price for open-market sales of Shares on August 23, 2016, within a $1.00 range. The actual prices for these transactions range from $8.75 to $8.94, inclusive.
- F15This price reflects the weighted average price for open-market sales of Shares on August 24, 2016, within a $1.00 range. The actual prices for these transactions range from $8.75 to $9.04, inclusive.
- F16This price reflects the weighted average price for open-market sales of Shares on August 25, 2016, within a $1.00 range. The actual prices for these transactions range from $8.94 to $9.06, inclusive.
- F17This price reflects the weighted average price for open-market sales of Shares on August 26, 2016, within a $1.00 range. The actual prices for these transactions range from $8.98 to $9.08, 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 August 1, 2016, within a $1.00 range. The actual prices for these transactions range from $9.9 to $9.98, 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 (17).
- F5This price reflects the weighted average price for open-market sales of Shares on August 2, 2016, within a $1.00 range. The actual prices for these transactions range from $9.94 to $9.98, inclusive.
- F6This price reflects the weighted average price for open-market sales of Shares on August 3, 2016, within a $1.00 range. The actual prices for these transactions range from $9.85 to $9.95, inclusive.
- F7This price reflects the weighted average price for open-market sales of Shares on August 5, 2016, within a $1.00 range. The actual prices for these transactions range from $9.8 to $9.9, inclusive.
- F8This price reflects the weighted average price for open-market sales of Shares on August 8, 2016, within a $1.00 range. The actual prices for these transactions range from $9.44 to $9.55, inclusive.
- F9This price reflects the weighted average price for open-market sales of Shares on August 11, 2016, within a $1.00 range. The actual prices for these transactions range from $9.2 to $9.24, inclusive.