0001209191-19-042755.txt : 20190719 0001209191-19-042755.hdr.sgml : 20190719 20190719160442 ACCESSION NUMBER: 0001209191-19-042755 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: Dryden L. Dyson CENTRAL INDEX KEY: 0001574445 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35898 FILM NUMBER: 19963512 MAIL ADDRESS: STREET 1: 305 WEST PENNSYLVANIA AVENUE CITY: TOWSON STATE: MD ZIP: 21204 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 0001574445 Dryden L. Dyson 96 MORTON STREET NEW YORK NY 10014 1 0 0 0 Common Stock 2019-07-17 4 A 0 513933 A 1568414 D Warrants 11.50 2019-07-17 4 D 0 1334891 D 2015-07-08 2020-07-08 Common Stock 1334891 0 D 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. 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/ L. Dyson Dryden 2019-07-19