SEC Form 4 · accession 0001140361-18-000484
LINDBLAD EXPEDITIONS HOLDINGS, INC. · LIND
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Trey Byus
Officer — Chief Expedition Officer
Period of report
Jan 1, 2018
Accepted (ET)
Jan 3, 2018 · 4:49 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 1, 2018 | M | 238,856 | $1.76 | A | 609,318 | D | |
| Common Stock | Jan 1, 2018 | F | 110,844 | $9.79 | D | 498,474 | 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) | $1.76 | Jan 1, 2018 | M | 238,856 | D | Dec 31, 2017 | Dec 31, 2018 | Common Stock | 238,856 | 0 | D |
| Restricted Stock UnitsF1,F2 | — | holding | — | — | — | — | — | Common Stock | 15,346 | 15,346 | D |
Explanation of responses
- F1Upon vesting, each restricted stock unit represents the right to receive one share of common stock or an equivalent amount of cash.
- F2The restricted stock units vest in three equal annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company.