0000902664-21-000029.txt : 20210105 0000902664-21-000029.hdr.sgml : 20210105 20210105163142 ACCESSION NUMBER: 0000902664-21-000029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210105 DATE AS OF CHANGE: 20210105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FARRELL SARAH E CENTRAL INDEX KEY: 0001808740 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35898 FILM NUMBER: 21506068 MAIL ADDRESS: STREET 1: 572 RUGER STREET STREET 2: SUITE B CITY: SAN FRANCISCO STATE: CA ZIP: 94129 FORMER NAME: FORMER CONFORMED NAME: Farrell Sarah E. DATE OF NAME CHANGE: 20200407 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 ownership.xml X0306 4 2020-12-31 0 0001512499 LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND 0001808740 FARRELL SARAH E 572 RUGER STREET SUITE B SAN FRANCISCO CA 94129 1 0 0 0 Common Stock, par value $0.0001 per share 2020-12-31 4 A 0 1645 0 A 8526 D Restricted stock units granted under the 2015 Long-Term Incentive Plan. The restricted stock units vest in full on December 31, 2021, subject to the Reporting Person's continued service with the Issuer on the vesting date. The Reporting Person is deemed to hold the award for the benefit of Inclusive Capital Partners Spring Master Fund, L.P. ("In-Cap Spring Master Fund") and indirectly for Inclusive Capital Partners, L.P. and may transfer the award directly to In-Cap Spring Master Fund. /s/ Sarah E. Farrell 2021-01-05