0000905148-16-002096.txt : 20161121
0000905148-16-002096.hdr.sgml : 20161121
20161121103608
ACCESSION NUMBER: 0000905148-16-002096
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160829
FILED AS OF DATE: 20161121
DATE AS OF CHANGE: 20161121
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Baldeweg Dirk Klaus
CENTRAL INDEX KEY: 0001647744
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35898
FILM NUMBER: 162009379
MAIL ADDRESS:
STREET 1: UP DE WORTH 19
CITY: HAMBURG
STATE: 2M
ZIP: 22391
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Killinger Johann
CENTRAL INDEX KEY: 0001647727
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35898
FILM NUMBER: 162009380
MAIL ADDRESS:
STREET 1: HEILWIGSTRASSE 96
CITY: HAMBURG
STATE: 2M
ZIP: 20249
4
1
form4.xml
X0306
4
2016-08-29
0001512499
LINDBLAD EXPEDITIONS HOLDINGS, INC.
LIND
0001647727
Killinger Johann
HEILWIGSTRASSE 96
HAMBURG
2M
20249
GERMANY
true
0001647744
Baldeweg Dirk Klaus
UP DE WORTH 19
HAMBURG
2M
22391
GERMANY
true
Common Stock, $0.0001 par value per share
2016-08-29
4
S
0
342383
9.1195
D
2227128
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-01
4
S
0
909
9.5
D
2226219
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-02
4
S
0
2500
9.5
D
2223719
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-06
4
S
0
8600
9.5051
D
2215119
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-07
4
S
0
4137
9.5001
D
2210982
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-21
4
S
0
5000
9.0345
D
2205982
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-21
4
S
0
5000
9.0345
D
2738016
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-22
4
S
0
5000
9.0563
D
2200982
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-22
4
S
0
5000
9.0563
D
2733016
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-23
4
S
0
5000
9.0579
D
2195982
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-23
4
S
0
5000
9.0579
D
2728016
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-26
4
S
0
5000
9.0697
D
2190982
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-26
4
S
0
5000
9.0697
D
2723016
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-27
4
S
0
5000
9.1512
D
2185982
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-27
4
S
0
5000
9.1512
D
2718016
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-28
4
S
0
320000
9.2
D
1865982
I
See Footnotes
Common Stock, $0.0001 par value per share
2016-09-28
4
S
0
80000
9.2
D
2638016
I
See Footnotes
These shares of Common Stock ("Shares") are directly owned by Talas Shipping GmbH & Co. KG, for which each of the Reporting Persons serve as managing director.
These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.
Each Reporting Person disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
This price reflects the weighted average price for open-market sales of Shares on August 29, 2016, within a $1.00 range. The actual prices for these transactions range from $9 to $9.21, inclusive. The Reporting Persons further undertake to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares sold at each separate price within the range set forth in footnotes (4) through (11).
This price reflects the weighted average price for open-market sales of Shares on September 6, 2016, within a $1.00 range. The actual prices for these transactions range from $9.5 to $9.55, inclusive.
This price reflects the weighted average price for open-market sales of Shares on September 7, 2016, within a $1.00 range. The actual prices for these transactions range from $9.5 to $9.53, inclusive.
This price reflects the weighted average price for open-market sales of Shares on September 21, 2016, within a $1.00 range. The actual prices for these transactions range from $9.01 to $9.07, inclusive.
This price reflects the weighted average price for open-market sales of Shares on September 22, 2016, within a $1.00 range. The actual prices for these transactions range from $9.03 to $9.1, inclusive.
This price reflects the weighted average price for open-market sales of Shares on September 23, 2016, within a $1.00 range. The actual prices for these transactions range from $9.05 to $9.9, inclusive.
This price reflects the weighted average price for open-market sales of Shares on September 26, 2016, within a $1.00 range. The actual prices for these transactions range from $9.05 to $9.11, inclusive.
This price reflects the weighted average price for open-market sales of Shares on September 27, 2016, within a $1.00 range. The actual prices for these transactions range from $9.09 to $9.25, inclusive.
/s/ Dr. Johann Killinger
2016-11-21
/s/ Dr. Dirk Baldeweg
2016-11-21