SEC Form 4/A · accession 0001140361-16-054772
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ian Rogers
Officer — COO and VP
Period of report
Jan 13, 2016
Accepted (ET)
Feb 25, 2016 · 9:52 am 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 13, 2016 | M | 478,667 | $1.76 | A | 832,311 | D | |
| Common Stock | Jan 13, 2016 | F | 288,901 | $10.63 | D | 543,410 | 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)F2,F1 | $1.76 | Jan 13, 2016 | M | 478,667 | D | — | Dec 31, 2018 | Common Stock | 478,667 | 1,433,136 | 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%).
- F2This amendment is filed to update the number of derivative securities beneficially owned following reported transaction.