SEC Form 4 · accession 0001140361-15-027330
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jul 8, 2015
Accepted (ET)
Jul 10, 2015 · 5:29 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 StockF2 | Jul 8, 2015 | G | 280,251 | $0.00 | D | 3,456,416 | I | By Capitol Acquisition Management 2 LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Promissory NoteF3,F2 | $1.00 | Jul 8, 2015 | M | 352,500 | D | Jul 8, 2015 | Jul 8, 2015 | Warrant | 352,500 | 0 | I |
| Warrants to PurchaseF2 | $11.50 | Jul 8, 2015 | M | 352,500 | A | Aug 7, 2015 | Jul 8, 2020 | Common Stock | 352,500 | 352,500 | I |
Explanation of responses
- F1Charitable contribution made to National Geographic for the purpose of the Lindblad Expeditions - National Geographic Joint Fund for Exploration and Conservation in conjunction with the merger.
- F2Leland Investments Inc., an entity controlled by Mr. Ein, is the sole member of Capitol Acquisition Management 2 LLC.
- F3The convertible promissory note was issued in consideration of a loan made by the reporting person in the same amount.