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LINDW Lindblad Expeditions Holdings Inc

6.49
0.00 (0.00%)
14 Jun 2024 - Closed
Delayed by 15 minutes
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

Statement of Changes in Beneficial Ownership (4)

01/04/2020 9:59pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

FELENSTEIN CRAIG
2. Issuer Name and Ticker or Trading Symbol

LINDBLAD EXPEDITIONS HOLDINGS, INC. [ LIND ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chief Financial Officer
(Last)          (First)          (Middle)

96 MORTON STREET 9TH FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

3/29/2020
(Street)

NEW YORK, NY 10014
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 3/29/2020  M  4503 A$0 46583 D  
Common Stock 3/29/2020  F  1769 D$5.03 44814 D  
Common Stock 3/30/2020  M  6492 A$0 51306 D  
Common Stock 3/30/2020  F  2550 D$4.28 48756 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units  (1)3/30/2020  M     6492   (2) (2)Common Stock 6492 $0 6491 D  
Restricted Stock Units  (1)           (3) (3)Common Stock 7440  7440 D  
Stock Options (Right to Buy) $9.47 (4)           (4) (4)Common Stock 200000  200000 D  
Restricted Stock Units  (1)3/29/2020  M     4503   (5) (5)Common Stock 4503 $0 9005 D  

Explanation of Responses:
(1) Upon vesting, each restricted stock unit represents the right to receive one share of common stock or an equivalent amount of cash.
(2) The restricted stock units vest in three equal annual installments beginning March 30, 2019, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.
(3) The 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 or its subsidiaries on the applicable vesting date.
(4) The options vest annually pro rata over a four-year period.
(5) The restricted stock units vest in three annual installments beginning March 29, 2020, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
FELENSTEIN CRAIG
96 MORTON STREET 9TH FLOOR
NEW YORK, NY 10014


Chief Financial Officer

Signatures
/s/ John J. Wolfel, Attorney-in-Fact for Craig Felenstein4/1/2020
**Signature of Reporting PersonDate

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