0001567619-21-011710.txt : 20210604
0001567619-21-011710.hdr.sgml : 20210604
20210604161124
ACCESSION NUMBER: 0001567619-21-011710
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210603
FILED AS OF DATE: 20210604
DATE AS OF CHANGE: 20210604
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Berle Dolf A
CENTRAL INDEX KEY: 0001557260
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35898
FILM NUMBER: 21996568
MAIL ADDRESS:
STREET 1: 2481 MANANA DRIVE
CITY: DALLAS
STATE: TX
ZIP: 75220
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
2021-06-03
0
0001512499
LINDBLAD EXPEDITIONS HOLDINGS, INC.
LIND
0001557260
Berle Dolf A
C/O LINDBLAD EXPEDITIONS HOLDINGS, INC.
96 MORTON STREET, 9TH FLOOR
NEW YORK
NY
10014
1
1
0
0
CEO
Restricted Stock Units
2021-06-03
4
A
0
58452
0
A
116904
D
Stock Option (right to buy)
16.38
2021-06-03
4
A
0
1000000
0
A
2031-05-09
Common Stock
1000000
1000000
D
Securities acquired in connection with the Reporting Person's hiring as Chief Executive Officer by the Company.
Each restricted stock unit represents the right to receive one share of the Company's common stock and will vest in five equal annual installments beginning on June 3, 2022, subject to the Reporting Person's continued employment by the Company on such dates.
Options granted May 10, 2021, subject to Company's stockholder approval of the 2021 Long-Term Incentive Plan, which approval was effective at the 2021 meeting of stockholders held on June 3, 2021.
Grant to reporting person of options to buy shares of common stock under the Issuer's 2021 Long-Term Incentive Plan. The options vest and become exercisable in five equal annual installments on May 10, 2022, 2023, 2024, 2025 and 2026.
/s/ Dolf A Berle by John J. Wolfel, Attorney-in-Fact
2021-06-04