SEC Form 4/A · accession 0001567619-18-003276
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
Mark Ein
Director · 10% Owner
Period of report
Mar 2, 2018
Accepted (ET)
Sep 28, 2018 · 4:36 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 2, 2018 | P | 20,000 | $9.2689 | A | 41,958 | D | |
| Common StockF3,F1 | Mar 6, 2018 | P | 10,000 | $9.2547 | A | 51,958 | D | |
| Common StockF2 | holding | — | — | — | 3,456,416 | I | By Capitol Acquisition Management 2 LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $9.24 to $9.30, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.
- F2Leland Investments, Inc., an entity controlled by Mr. Ein, is the sole member of Capitol Acquisition Management 2 LLC.
- F3Date was corrected to show correct year.