SEC Form 4 · accession 0001140361-15-027312
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
L. Dyson Dryden
Director
Period of report
Jul 8, 2015
Accepted (ET)
Jul 10, 2015 · 4:50 pm EDT
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 | Jul 8, 2015 | G | 84,750 | $0.00 | D | 1,045,251 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Promissory NoteF1 | $1.00 | Jul 8, 2015 | M | 117,500 | D | Jul 8, 2015 | Jul 8, 2015 | Warrant | 117,500 | 0 | D |
| Warrants to Purchase | $11.50 | Jul 8, 2015 | M | 117,500 | A | Aug 7, 2015 | Jul 8, 2020 | Common Stock | 117,500 | 117,500 | D |
Explanation of responses
- F1The convertible promissory note was issued in consideration of a loan made by the reporting person in the same amount.