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Name | Symbol | Market | Type |
---|---|---|---|
Lindblad Expeditions Holdings Inc | NASDAQ:LINDW | NASDAQ | Equity Warrant |
Price Change | % Change | Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 6.49 | 6.63 | 7.90 | 0 | 01:00:00 |
| By Order of the Board of Directors, | |
|
/s/ Mark D. Ein
Mark D. Ein
Chairman of the Board |
|
| | | | | 1 | | | |
| | | | | 6 | | | |
| | | | | 7 | | | |
| | | | | 8 | | | |
| | | | | 12 | | | |
| | | | | 16 | | | |
| | | | | 17 | | | |
| | | | | 30 | | | |
| | | | | 31 | | | |
| | | | | 32 | | | |
| | | | | 32 | | | |
| | | | | 33 | | | |
| | | | | 33 | | | |
| | | | | 34 | | |
Name of Beneficial Owner
|
| |
Number of
Shares Beneficially Owned |
| |
Percentage
Beneficially Owned(1) |
| ||||||
Management and Directors: | | | | | | | | | | | | | |
Sven-Olof Lindblad(2)
|
| | | | 12,525,347 | | | | | | 25.1% | | |
Craig Felenstein(3)
|
| | | | 202,230 | | | | | | * | | |
Philip Auerbach(4)
|
| | | | 93,194 | | | | | | * | | |
Dean (Trey) Byus III(5)
|
| | | | 123,612 | | | | | | * | | |
Benjamin L. Bressler
|
| | | | 86,555 | | | | | | * | | |
Mark D. Ein(6)
|
| | | | 5,013,833 | | | | | | 10.1% | | |
L. Dyson Dryden(7)
|
| | | | 1,179,969 | | | | | | 2.4% | | |
Bernard W. Aronson(7)
|
| | | | 29,035 | | | | | | * | | |
Catherine Reynolds(7)
|
| | | | 24,239 | | | | | | * | | |
Elliott Bisnow(8)
|
| | | | 25,319 | | | | | | * | | |
John M. Fahey(7)
|
| | | | 83,035 | | | | | | * | | |
Daniel J. Hanrahan(9)
|
| | | | 26,146 | | | | | | * | | |
Sarah Farrell(10)
|
| | | | — | | | | | | * | | |
Thomas S. (Tad) Smith Jr.
|
| | | | — | | | | | | * | | |
All directors and executive officers as a group (14 persons)
|
| | | | 19,384,850 | | | | | | 38.9% | | |
5% Owners: | | | | | | | | | | | | | |
Capitol Acquisition Management 2 LLC(6)
|
| | | | 5,013,833 | | | | | | 10.1% | | |
ValueAct Capital(10)
|
| | | | 4,923,247 | | | | | | 9.9% | | |
Name
|
| |
Audit
Committee |
| |
Compensation
Committee |
| |
Nominating
Committee |
| |||||||||
Mr. Aronson
|
| | | | — | | | | | | — | | | | | | M | | |
Mr. Bisnow
|
| | | | — | | | | | | — | | | | | | — | | |
Mr. Dryden
|
| | | | C | | | | | | M | | | | | | — | | |
Mr. Ein
|
| | | | M | | | | | | M | | | | | | C | | |
Mr. Fahey
|
| | | | — | | | | | | C | | | | | | M | | |
Ms. Farrell
|
| | | | — | | | | | | — | | | | | | — | | |
Mr. Hanrahan
|
| | | | M | | | | | | — | | | | | | — | | |
Ms. Reynolds
|
| | | | — | | | | | | M | | | | | | — | | |
Mr. Smith
|
| | | | — | | | | | | — | | | | | | — | | |
Name
|
| |
Fees Earned or
Paid in Cash |
| |
Option
Awards |
| |
Stock
Awards(1) |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||
Mark D. Ein(2)
|
| | | $ | 63,750 | | | | | $ | — | | | | | $ | 74,990 | | | | | $ | — | | | | | $ | 138,740 | | |
Bernard W. Aronson
|
| | | $ | 51,250 | | | | | $ | — | | | | | $ | 74,990 | | | | | $ | — | | | | | $ | 126,240 | | |
Elliott Bisnow
|
| | | $ | 51,250 | | | | | $ | — | | | | | $ | 74,990 | | | | | $ | — | | | | | $ | 126,240 | | |
Daniel J. Hanrahan
|
| | | $ | 51,250 | | | | | $ | — | | | | | $ | 74,990 | | | | | $ | — | | | | | $ | 126,240 | | |
L. Dyson Dryden(3)
|
| | | $ | 55,000 | | | | | $ | — | | | | | $ | 74,990 | | | | | $ | — | | | | | $ | 129,990 | | |
John M. Fahey(4)
|
| | | $ | 53,750 | | | | | $ | — | | | | | $ | 74,990 | | | | | $ | — | | | | | $ | 128,740 | | |
Catherine B. Reynolds
|
| | | $ | 51,250 | | | | | $ | — | | | | | $ | 74,990 | | | | | $ | — | | | | | $ | 126,240 | | |
Name
|
| |
Age
|
| |
Position
|
|
Sven-Olof Lindblad
|
| |
69
|
| | Chief Executive Officer, President and Director | |
Craig I. Felenstein
|
| |
47
|
| | Chief Financial Officer | |
Philip J. Auerbach
|
| |
40
|
| | Chief Commercial Officer | |
Dean (Trey) Byus III
|
| |
51
|
| | Chief Expedition Officer | |
Benjamin L. Bressler
|
| |
57
|
| | President, Natural Habitat, Inc. | |
Name
|
| |
Fiscal 2020
Base Salary |
| |
Percentage Increase
Over Fiscal 2019 Base Salary |
| ||||||
Sven-Olof Lindblad
|
| | | $ | 530,450(a) | | | | | | 3% | | |
Craig I. Felenstein
|
| | | $ | 424,360(a) | | | | | | 3% | | |
Philip J. Auerbach
|
| | | $ | 424,360(a) | | | | | | 3% | | |
Dean (Trey) Byus III
|
| | | $ | 350,000(a) | | | | | | 24% | | |
Benjamin L. Bressler
|
| | | $ | 200,000(b) | | | | | | 0% | | |
Name
|
| |
2019 Short-Term
Annual Cash-Based Incentive Bonus Amount(a) |
| |||
Mr. Lindblad
|
| | | $ | 372,731 | | |
Mr. Felenstein
|
| | | $ | 298,185 | | |
Mr. Auerbach
|
| | | $ | 298,185 | | |
Mr. Byus III
|
| | | $ | 205,003 | | |
Name and Principal Position
|
| |
Year
|
| |
Salary
|
| |
Bonus(1)
|
| |
Stock(2)
|
| |
Option
|
| |
All Other(3)
|
| |
Total
|
| |||||||||||||||||||||
Sven-Olof Lindblad
President and Chief Executive Officer |
| | | | 2019 | | | | | $ | 515,000 | | | | | $ | 370,017 | | | | | $ | 772,504 | | | | | $ | 0 | | | | | $ | 31,127 | | | | | $ | 1,688,648 | | |
| | | 2018 | | | | | $ | 500,000 | | | | | $ | 378,750 | | | | | $ | 749,998 | | | | | $ | 0 | | | | | $ | 29,110 | | | | | $ | 1,657,858 | | | ||
| | | 2017 | | | | | $ | 543,726 | | | | | $ | 242,368 | | | | | $ | 751,680 | | | | | $ | 0 | | | | | $ | 29,110 | | | | | $ | 1,556,884 | | | ||
Craig I. Felenstein
Chief Financial Officer |
| | | | 2019 | | | | | $ | 412,000 | | | | | $ | 296,014 | | | | | $ | 411,994 | | | | | $ | 0 | | | | | $ | 31,739 | | | | | $ | 1,151,747 | | |
| | | 2018 | | | | | $ | 400,000 | | | | | $ | 353,000 | | | | | $ | 399,996 | | | | | $ | 0 | | | | | $ | 29,719 | | | | | $ | 1,182,718 | | | ||
| | | 2017 | | | | | $ | 400,000 | | | | | $ | 196,693 | | | | | $ | 400,885 | | | | | $ | 0 | | | | | $ | 29,719 | | | | | $ | 1,027,297 | | | ||
Philip J. Auerbach
Chief Commercial Officer |
| | | | 2019 | | | | | $ | 412,000 | | | | | $ | 296,014 | | | | | $ | 411,994 | | | | | $ | 0 | | | | | $ | 31,174 | | | | | $ | 1,151,182 | | |
| | | 2018 | | | | | $ | 400,000 | | | | | $ | 303,000 | | | | | $ | 399,996 | | | | | $ | 0 | | | | | $ | 29,719 | | | | | $ | 1,132,193 | | | ||
| | | 2017 | | | | | $ | 400,000 | | | | | $ | 196,693 | | | | | $ | 400,885 | | | | | $ | 0 | | | | | $ | 29,197 | | | | | $ | 1,026,775 | | | ||
Dean (Trey) Byus III
Chief Expedition Officer |
| | | | 2019 | | | | | $ | 283,250 | | | | | $ | 203,510 | | | | | $ | 283,254 | | | | | $ | 0 | | | | | $ | 31,739 | | | | | $ | 801,753 | | |
| | | 2018 | | | | | $ | 275,000 | | | | | $ | 208,557 | | | | | $ | 275,010 | | | | | $ | 0 | | | | | $ | 29,719 | | | | | $ | 788,286 | | | ||
| | | 2017 | | | | | $ | 261,245 | | | | | $ | 128,463 | | | | | $ | 275,641 | | | | | $ | 0 | | | | | $ | 29,719 | | | | | $ | 695,041 | | | ||
Benjamin L. Bressler
President, Natural Habitat, Inc. |
| | | | 2019 | | | | | $ | 200,000 | | | | | $ | 841,073 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 39,617 | | | | | $ | 1,080,690 | | |
| | | 2018 | | | | | $ | 200,000 | | | | | $ | 562,557 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 37,579 | | | | | $ | 800,154 | | | ||
| | | 2017 | | | | | $ | 200,000 | | | | | $ | 429,845 | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 37,579 | | | | | $ | 667,444 | | |
Name
|
| |
401(k) Match
|
| |
Health
Insurance Premiums |
| |
Life, Accidental,
Death and Dismemberment and Long-term Disability Premiums |
| |
Other
|
| ||||||||||||
Mr. Lindblad
|
| | | $ | 2,400 | | | | | $ | 26,849 | | | | | $ | 1,878 | | | | | $ | — | | |
Mr. Felenstein
|
| | | $ | 2,400 | | | | | $ | 26,849 | | | | | $ | 2,490 | | | | | $ | — | | |
Mr. Auerbach
|
| | | $ | 2,357 | | | | | $ | 26,849 | | | | | $ | 1,968 | | | | | $ | — | | |
Mr. Byus
|
| | | $ | 2,400 | | | | | $ | 26,849 | | | | | $ | 2,490 | | | | | $ | — | | |
Mr. Bressler
|
| | | $ | 2,400 | | | | | $ | 26,849 | | | | | $ | 1,968 | | | | | $ | 8,400(a) | | |
Name
|
| |
Grant
Date of Equity Incentive Plan Awards |
| |
Estimated Possible Payouts
Under Non-Equity Incentive Plan Awards(1) |
| |
Estimated Future Payouts Under
Equity Incentive Plan Awards(2) |
| |
All Other
Stock Awards: Number of Shares of Stock or Units (#)(3) |
| |
Grant Date
Fair Value of Stock and Option Awards(4) ($) |
| |||||||||||||||||||||||||||||||||||||||
|
Threshold
($) |
| |
Target
($) |
| |
Maximum
($) |
| |
Threshold
(#) |
| |
Target
(#) |
| |
Maximum
(#) |
| ||||||||||||||||||||||||||||||||||||||
Mr. Lindblad
|
| | | | | | | | | $ | 337,583 | | | | | $ | 386,250 | | | | | $ | 579,375 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 3/29/2019 | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | | 25,328 | | | | | | 50,656 | | | | | | | | | | | $ | 386,252 | | |
| | | | | 3/29/2019 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 25,328 | | | | | $ | 386,252 | | |
Mr. Felenstein
|
| | | | | | | | | $ | 270,066 | | | | | $ | 309,000 | | | | | $ | 463,500 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 3/29/2019 | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | | 13,508 | | | | | | 27,016 | | | | | | | | | | | $ | 205,997 | | |
| | | | | 3/29/2019 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,508 | | | | | $ | 205,997 | | |
Mr. Auerbach
|
| | | | | | | | | $ | 270,066 | | | | | $ | 309,000 | | | | | $ | 463,500 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 3/29/2019 | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | | 13,508 | | | | | | 27,016 | | | | | | | | | | | $ | 205,997 | | |
| | | | | 3/29/2019 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,508 | | | | | $ | 205,997 | | |
Mr. Byus
|
| | | | | | | | | $ | 185,671 | | | | | $ | 212,438 | | | | | $ | 318,657 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 3/29/2019 | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | | 9,287 | | | | | | 18,574 | | | | | | | | | | | $ | 141,627 | | |
| | | | | 3/29/2019 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 9,287 | | | | | $ | 141,627 | | |
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||||||||||||||
Name
|
| |
Number of
Securities Underlying Unexercised Options Exercisable (#) |
| |
Number of
Securities Underlying Unexercised Options Un-exercisable (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number
of Shares or Units of Stock That Have Not Vested (#)(2) |
| |
Market
Value of Shares or Units of Stock That Have Not Vested ($)(1) |
| |
Equity
Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights That Have Not Vested (#) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($)(1) |
| ||||||||||||||||||||||||
Mr. Lindblad
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 63,622 | | | | | $ | 1,040,856 | | | | | | 32,461(3) | | | | | $ | 531,062 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 36,514(4) | | | | | $ | 597,369 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 25,328(5) | | | | | $ | 414,366 | | |
Mr. Felenstein
|
| | | | 150,000 | | | | | | 50,000 | | | | | $ | 9.47 | | | | | | 9/6/26 | | | | | | 43,931 | | | | | $ | 718,711 | | | | | | 17,312(3) | | | | | $ | 283,224 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 19,474(4) | | | | | $ | 318,595 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,205(5) | | | | | $ | 220,991 | | |
Mr. Auerbach
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 56,431 | | | | | $ | 923,211 | | | | | | 17,312(3) | | | | | $ | 283,224 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 19,474(4) | | | | | $ | 318,595 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,205(5) | | | | | $ | 220,991 | | |
Mr. Byus
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 23,328 | | | | | $ | 381,646 | | | | | | 11,903(3) | | | | | $ | 194,733 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 13,389(4) | | | | | $ | 219,044 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 9,287(5) | | | | | $ | 151,935 | | |
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||
Name
|
| |
Number of
Shares Acquired on Exercise (#) |
| |
Value
Realized on Exercise ($)(1) |
| |
Number of
Shares Acquired on Vesting (#) |
| |
Value
Realized on Vesting ($)(2) |
| ||||||||||||
Sven-Olof Lindblad
|
| | | | — | | | | | $ | — | | | | | | 26,122 | | | | | $ | 402,685 | | |
Craig I. Felenstein
|
| | | | — | | | | | $ | — | | | | | | 23,932 | | | | | $ | 398,070 | | |
Philip J. Auerbach
|
| | | | — | | | | | $ | — | | | | | | 36,432 | | | | | $ | 586,245 | | |
Dean (Trey) Byus III
|
| | | | — | | | | | $ | — | | | | | | 9,579 | | | | | $ | 147,666 | | |
Name
|
| |
Cash
|
| |
Equity
|
| |
Perquisites/
Benefits |
| |
Total
|
| ||||||||||||
Mr. Lindblad
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Mr. Felenstein
|
| | | $ | 708,014(1) | | | | | $ | 809,675(3) | | | | | $ | 33,084(5) | | | | | $ | 1,550,773 | | |
Mr. Auerbach
|
| | | $ | 708,014(1) | | | | | $ | 923,211(4) | | | | | $ | 33,084(5) | | | | | $ | 1,664,309 | | |
Mr. Byus
|
| | | $ | 675,864(2) | | | | | $ | — | | | | | $ | 33,084(5) | | | | | $ | 708,948 | | |
Mr. Bressler
|
| | | $ | 7,190,604(10) | | | | | $ | — | | | | | $ | 49,626(11) | | | | | $ | 7,240,230 | | |
Name
|
| |
Cash
|
| |
Equity
|
| |
Perquisites/
Benefits |
| |
Total
|
| ||||||||||||
Mr. Lindblad
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Mr. Felenstein
|
| | | $ | 708,014(1) | | | | | $ | 1,063,211(7) | | | | | $ | 33,084(5) | | | | | $ | 1,804,309 | | |
Mr. Auerbach
|
| | | $ | 708,014(1) | | | | | $ | 923,211(8) | | | | | $ | 33,084(5) | | | | | $ | 1,664,309 | | |
Mr. Byus
|
| | | $ | 1,171,552(6) | | | | | $ | — | | | | | $ | 66,168(9) | | | | | $ | 1,237,720 | | |
Mr. Bressler
|
| | | $ | 7,190,604(10) | | | | | $ | — | | | | | $ | 49,626(11) | | | | | $ | 7,240,230 | | |
| | |
2019
|
| |
2018
|
| ||||||
Audit fees(1)
|
| | | $ | 513,526 | | | | | $ | 537,660 | | |
Audit-related fees
|
| | | $ | — | | | | | $ | –– | | |
Tax fees
|
| | | $ | — | | | | | $ | — | | |
All other fees(2)
|
| | | $ | 42,863 | | | | | $ | — | | |
1 Year Lindblad Expeditions Chart |
1 Month Lindblad Expeditions Chart |
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