SEC Form 4 · accession 0001140361-15-027179
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ian Rogers
Officer — COO, CFO and VP
Period of report
Jul 8, 2015
Accepted (ET)
Jul 9, 2015 · 4:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001512499
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | $1.76 | Jul 8, 2015 | A | 2,866,272 | A | — | Dec 31, 2018 | Common Stock | 2,866,272 | 2,866,272 | D |
Explanation of responses
- F133.3% of the options to purchase shares of Common Stock vest on the one-month anniversary of the transaction date. The remaining options are subject to vesting, based on continued employment, on January 1, 2016 (16.7%), December 31, 2016 (25%) and December 31, 2017 (25%).