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