SEC Form 4/A · accession 0001140361-17-014665
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
Trey Byus
Officer — Chief Expedition Officer
Period of report
Mar 22, 2017
Accepted (ET)
Apr 4, 2017 · 4:39 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 | Mar 22, 2017 | M | 95,542 | $1.76 | A | 339,601 | D | |
| Common StockF1 | Mar 22, 2017 | F | 42,429 | $8.72 | D | 297,172 | 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 | $1.76 | Mar 22, 2017 | M | 95,542 | D | — | Dec 31, 2018 | Common Stock | 95,542 | 382,170 | D |
Explanation of responses
- F1Amendment is being filed to correct the transaction date.
- F2A portion of the remaining options are subject to vesting, based on continued employment, on December 31, 2017 (25% of the original amount).