0001567619-21-007515.txt : 20210402 0001567619-21-007515.hdr.sgml : 20210402 20210402164816 ACCESSION NUMBER: 0001567619-21-007515 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210402 DATE AS OF CHANGE: 20210402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FELENSTEIN CRAIG CENTRAL INDEX KEY: 0001683568 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35898 FILM NUMBER: 21802567 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 2021-03-31 0 0001512499 LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND 0001683568 FELENSTEIN CRAIG 96 MORTON STREET 9TH FLOOR NEW YORK NY 10014 0 1 0 0 Chief Financial Officer Common Stock 2021-03-31 4 F 0 7137 18.90 D 181866 D Common Stock 2021-03-31 4 A 0 10899 0 A 192765 D Common Stock 2021-03-31 4 A 0 10899 0 A 203664 D Stock Options (Right to Buy) 9.47 Common Stock 200000 200000 D Restricted Stock Units 0 Common Stock 4502 4503 D Represents award of restricted stock units vesting annually on March 31, 2022, 2023 and 2024, subject to continued service. Represents market based equity incentive awards subject to forfeiture and vesting. The options vest annually pro rata over a four-year period. 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 Craig Felenstein 2021-04-02