0000905148-16-002096.txt : 20161121 0000905148-16-002096.hdr.sgml : 20161121 20161121103608 ACCESSION NUMBER: 0000905148-16-002096 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160829 FILED AS OF DATE: 20161121 DATE AS OF CHANGE: 20161121 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baldeweg Dirk Klaus CENTRAL INDEX KEY: 0001647744 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35898 FILM NUMBER: 162009379 MAIL ADDRESS: STREET 1: UP DE WORTH 19 CITY: HAMBURG STATE: 2M ZIP: 22391 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Killinger Johann CENTRAL INDEX KEY: 0001647727 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35898 FILM NUMBER: 162009380 MAIL ADDRESS: STREET 1: HEILWIGSTRASSE 96 CITY: HAMBURG STATE: 2M ZIP: 20249 4 1 form4.xml X0306 4 2016-08-29 0001512499 LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND 0001647727 Killinger Johann HEILWIGSTRASSE 96 HAMBURG 2M 20249 GERMANY true 0001647744 Baldeweg Dirk Klaus UP DE WORTH 19 HAMBURG 2M 22391 GERMANY true Common Stock, $0.0001 par value per share 2016-08-29 4 S 0 342383 9.1195 D 2227128 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-01 4 S 0 909 9.5 D 2226219 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-02 4 S 0 2500 9.5 D 2223719 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-06 4 S 0 8600 9.5051 D 2215119 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-07 4 S 0 4137 9.5001 D 2210982 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-21 4 S 0 5000 9.0345 D 2205982 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-21 4 S 0 5000 9.0345 D 2738016 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-22 4 S 0 5000 9.0563 D 2200982 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-22 4 S 0 5000 9.0563 D 2733016 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-23 4 S 0 5000 9.0579 D 2195982 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-23 4 S 0 5000 9.0579 D 2728016 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-26 4 S 0 5000 9.0697 D 2190982 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-26 4 S 0 5000 9.0697 D 2723016 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-27 4 S 0 5000 9.1512 D 2185982 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-27 4 S 0 5000 9.1512 D 2718016 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-28 4 S 0 320000 9.2 D 1865982 I See Footnotes Common Stock, $0.0001 par value per share 2016-09-28 4 S 0 80000 9.2 D 2638016 I See Footnotes These shares of Common Stock ("Shares") are directly owned by Talas Shipping GmbH & Co. KG, for which each of the Reporting Persons serve as managing director. These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director. Each Reporting Person disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. This price reflects the weighted average price for open-market sales of Shares on August 29, 2016, within a $1.00 range. The actual prices for these transactions range from $9 to $9.21, inclusive. The Reporting Persons further undertake to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares sold at each separate price within the range set forth in footnotes (4) through (11). This price reflects the weighted average price for open-market sales of Shares on September 6, 2016, within a $1.00 range. The actual prices for these transactions range from $9.5 to $9.55, inclusive. This price reflects the weighted average price for open-market sales of Shares on September 7, 2016, within a $1.00 range. The actual prices for these transactions range from $9.5 to $9.53, inclusive. This price reflects the weighted average price for open-market sales of Shares on September 21, 2016, within a $1.00 range. The actual prices for these transactions range from $9.01 to $9.07, inclusive. This price reflects the weighted average price for open-market sales of Shares on September 22, 2016, within a $1.00 range. The actual prices for these transactions range from $9.03 to $9.1, inclusive. This price reflects the weighted average price for open-market sales of Shares on September 23, 2016, within a $1.00 range. The actual prices for these transactions range from $9.05 to $9.9, inclusive. This price reflects the weighted average price for open-market sales of Shares on September 26, 2016, within a $1.00 range. The actual prices for these transactions range from $9.05 to $9.11, inclusive. This price reflects the weighted average price for open-market sales of Shares on September 27, 2016, within a $1.00 range. The actual prices for these transactions range from $9.09 to $9.25, inclusive. /s/ Dr. Johann Killinger 2016-11-21 /s/ Dr. Dirk Baldeweg 2016-11-21