SEC Form 4 · accession 0001140361-16-079050
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Craig Felenstein
Officer — Chief Financial Officer
Period of report
Sep 6, 2016
Accepted (ET)
Sep 7, 2016 · 2:17 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 |
|---|---|---|---|---|---|---|---|---|
| Restricted Common Stock GrantF1 | Sep 6, 2016 | A | 40,000 | — | A | 40,000 | 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 | $9.47 | Sep 6, 2016 | A | 200,000 | A | — | — | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1Restricted stock granted under the 2015 Long Term Incentive Plan. The restricted stock vests annually pro rata over a four-year period.
- F2The options vest annually pro rata over a four-year period.