SEC Form 4 · accession 0001140361-16-047493
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Trey Byus
Officer — Chief Expedition Officer
Period of report
Jan 8, 2016
Accepted (ET)
Jan 11, 2016 · 5:23 pm 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 | Jan 8, 2016 | M | 159,556 | $1.76 | A | 313,034 | D | |
| Common Stock | Jan 8, 2016 | F | 68,506 | $10.82 | D | 244,528 | 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 | Jan 8, 2016 | M | 159,556 | D | — | Dec 31, 2018 | Common Stock | 159,556 | 477,712 | D |
Explanation of responses
- F1The remaining options are subject to vesting, based on continued employment, on December 31, 2016 (25%) and December 31, 2017 (25%).