SEC Form 4 · accession 0001140361-15-035201
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
Sep 15, 2015
Accepted (ET)
Sep 16, 2015 · 3:52 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 | Sep 15, 2015 | M | 954,469 | $1.76 | A | 954,469 | D | |
| Common Stock | Sep 15, 2015 | F | 600,825 | $9.30 | D | 353,644 | D |
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 | Sep 15, 2015 | M | 954,469 | D | — | Dec 31, 2018 | Common Stock | 954,469 | 1,911,803 | D |
Explanation of responses
- F1The 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%).