SEC Form 4 · accession 0000905148-16-002096
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Aug 29, 2016
Accepted (ET)
Nov 21, 2016 · 10:36 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 29, 2016 | S | 342,383 | $9.1195 | D | 2,227,128 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Sep 1, 2016 | S | 909 | $9.50 | D | 2,226,219 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Sep 2, 2016 | S | 2,500 | $9.50 | D | 2,223,719 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF5,F1,F3 | Sep 6, 2016 | S | 8,600 | $9.5051 | D | 2,215,119 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF6,F1,F3 | Sep 7, 2016 | S | 4,137 | $9.5001 | D | 2,210,982 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF7,F1,F3 | Sep 21, 2016 | S | 5,000 | $9.0345 | D | 2,205,982 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF7,F2,F3 | Sep 21, 2016 | S | 5,000 | $9.0345 | D | 2,738,016 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF8,F1,F3 | Sep 22, 2016 | S | 5,000 | $9.0563 | D | 2,200,982 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF8,F2,F3 | Sep 22, 2016 | S | 5,000 | $9.0563 | D | 2,733,016 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF9,F1,F3 | Sep 23, 2016 | S | 5,000 | $9.0579 | D | 2,195,982 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF9,F2,F3 | Sep 23, 2016 | S | 5,000 | $9.0579 | D | 2,728,016 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF10,F1,F3 | Sep 26, 2016 | S | 5,000 | $9.0697 | D | 2,190,982 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF10,F2,F3 | Sep 26, 2016 | S | 5,000 | $9.0697 | D | 2,723,016 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF11,F1,F3 | Sep 27, 2016 | S | 5,000 | $9.1512 | D | 2,185,982 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF11,F2,F3 | Sep 27, 2016 | S | 5,000 | $9.1512 | D | 2,718,016 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF1,F3 | Sep 28, 2016 | S | 320,000 | $9.20 | D | 1,865,982 | I | See Footnotes |
| Common Stock, $0.0001 par value per shareF2,F3 | Sep 28, 2016 | S | 80,000 | $9.20 | D | 2,638,016 | 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 September 26, 2016, within a $1.00 range. The actual prices for these transactions range from $9.05 to $9.11, inclusive.
- F11This price reflects the weighted average price for open-market sales of Shares on September 27, 2016, within a $1.00 range. The actual prices for these transactions range from $9.09 to $9.25, 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 29, 2016, within a $1.00 range. The actual prices for these transactions range from $9 to $9.21, 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 (11).
- F5This price reflects the weighted average price for open-market sales of Shares on September 6, 2016, within a $1.00 range. The actual prices for these transactions range from $9.5 to $9.55, inclusive.
- F6This price reflects the weighted average price for open-market sales of Shares on September 7, 2016, within a $1.00 range. The actual prices for these transactions range from $9.5 to $9.53, inclusive.
- F7This price reflects the weighted average price for open-market sales of Shares on September 21, 2016, within a $1.00 range. The actual prices for these transactions range from $9.01 to $9.07, inclusive.
- F8This price reflects the weighted average price for open-market sales of Shares on September 22, 2016, within a $1.00 range. The actual prices for these transactions range from $9.03 to $9.1, inclusive.
- F9This price reflects the weighted average price for open-market sales of Shares on September 23, 2016, within a $1.00 range. The actual prices for these transactions range from $9.05 to $9.9, inclusive.