0001209191-19-042754.txt : 20190719 0001209191-19-042754.hdr.sgml : 20190719 20190719160416 ACCESSION NUMBER: 0001209191-19-042754 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190717 FILED AS OF DATE: 20190719 DATE AS OF CHANGE: 20190719 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EIN MARK CENTRAL INDEX KEY: 0001246840 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35898 FILM NUMBER: 19963509 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Capitol Acquisition Management 2 LLC CENTRAL INDEX KEY: 0001575357 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35898 FILM NUMBER: 19963510 BUSINESS ADDRESS: STREET 1: 509 7TH STREET, N.W. CITY: WASHINGTON STATE: DC ZIP: 20004 BUSINESS PHONE: 202-654-7060 MAIL ADDRESS: STREET 1: 509 7TH STREET, N.W. CITY: WASHINGTON STATE: DC ZIP: 20004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LINDBLAD EXPEDITIONS HOLDINGS, INC. CENTRAL INDEX KEY: 0001512499 STANDARD INDUSTRIAL CLASSIFICATION: TRANSPORTATION SERVICES [4700] IRS NUMBER: 274749725 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 96 MORTON STREET STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 BUSINESS PHONE: 212-261-9000 MAIL ADDRESS: STREET 1: 96 MORTON STREET STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 FORMER COMPANY: FORMER CONFORMED NAME: Capitol Acquisition Corp. II DATE OF NAME CHANGE: 20110208 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-07-17 0 0001512499 LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND 0001246840 EIN MARK 96 MORTON STREET NEW YORK NY 10014 1 0 1 0 0001575357 Capitol Acquisition Management 2 LLC 96 MORTON STREET NEW YORK NY 10014 0 0 1 0 Common Stock 2019-07-17 4 A 0 135712 A 4962278 D Common Stock 2019-07-17 4 A 0 1406087 A 4962278 I See footnote Warrants 11.50 2019-07-17 4 D 0 352500 D 2015-07-08 2020-07-08 Common Stock 352500 0 D Warrants 11.50 2019-07-17 4 D 0 3652175 D 2015-07-08 2020-07-08 Common Stock 3652175 0 I See footnote On June 14, 2019, Lindblad Expeditions Holdings, Inc. (the "Issuer") commenced an offer to each holder of its public and private warrants (collectively, the "Warrants"), exercisable for one share of Common Stock, to receive 0.385 shares of Common Stock in exchange for each Warrant validly tendered by the holder and exchanged pursuant to the offer (the "Exchange Offer"). On July 17, 2019, the Issuer accepted all Warrants validly tendered in the Exchange Offer and issued Common Stock in exchange for such Warrants. Leland Investments Inc., an entity controlled by Mark Ein, is the sole member of Capitol Acquisition Management 2 LLC. Prior to the completion of the Exchange Offer, each Warrant entitled the holder to purchase one share of Common Stock at an exercise price of $11.50, subject to certain adjustments. /s/ Mark D. Ein 2019-07-19 Capitol Acquisition Management 2 LLC, By: Leland Investments Inc., By: /s/ Mark D. Ein 2019-07-19