0001567619-19-012434.txt : 20190530 0001567619-19-012434.hdr.sgml : 20190530 20190530165639 ACCESSION NUMBER: 0001567619-19-012434 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190528 FILED AS OF DATE: 20190530 DATE AS OF CHANGE: 20190530 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Byus Trey CENTRAL INDEX KEY: 0001639447 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35898 FILM NUMBER: 19867277 MAIL ADDRESS: STREET 1: 96 MORTON STREET, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10014 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 doc1.xml FORM 4 X0306 4 2019-05-28 0 0001512499 LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND 0001639447 Byus Trey 96 MORTON STREET NEW YORK NY 10014 0 1 0 0 Chief Expedition Officer Common Stock 2019-05-28 4 S 0 6900 16.5228 D 168495 D Common Stock 2019-05-30 4 S 0 455 16.5022 D 168040 D Restricted Stock Units Common Stock 8926 8926 D Restricted Stock Units Common Stock 5116 5115 D Restricted Stock Units Common Stock 9287 9287 D Represents shares sold pursuant to a Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.50 to $16.70, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $16.50 to $16.5101, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein. Upon vesting, each restricted stock unit represents the right to receive one share of common stock or an equivalent amount of cash. 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. The restricted stock units vest in three equal annual installments beginning April 3, 2018, subject to the Reporting Person's continuing employment or service with the Company. 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. /s/ John J. Wolfel, Attorney-in-Fact for Trey Byus 2019-05-30