SEC Form 4 · accession 0001140361-17-014666
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip Auerbach
Officer — Chief Commercial Officer
Period of report
Apr 3, 2017
Accepted (ET)
Apr 4, 2017 · 4:40 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 Grant | holding | — | — | — | 90,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Apr 3, 2017 | A | 22,321 | A | — | — | Common Stock | 22,321 | 22,321 | D |
Explanation of responses
- F1Upon vesting, each restricted stock unit represents a contingent right to receive one share of common stock or an equivalent amount of cash.
- F2The restricted stock units vest in three annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.