LIND

SEC source: 0001140361-17-014671 · doc1.xml · derivative · entry 3

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,902

Underlying: Common Stock · 27,902 shares

Expires not disclosed

F3 · derivative.exercise_price: Upon vesting, each restricted stock unit represents a contingent right to receive one share of common stock or an equivalent amount of cash.

F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.

F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.

SEC source: 0001140361-17-014671 · doc1.xml · nonDerivative · entry 1

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 423,896

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001140361-17-014670 · doc1.xml · derivative · entry 2

Lindblad Sven-Olof · CIK 0001639304 · Director · CEO, President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,853

Underlying: Common Stock · 41,853 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit represents a contingent right to receive one share of common stock or an equivalent amount of cash.

F2 · derivative.exercise_date: The restricted stock units vest in three annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.

F2 · derivative.expiration_date: The restricted stock units vest in three annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.

SEC source: 0001140361-17-014669 · doc1.xml · derivative · entry 1

Fontaine Richard P. · CIK 0001639275 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,726

Underlying: Common Stock · 1,726 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit represents a contingent right to receive one share of common stock or an equivalent amount of cash.

F2 · derivative.exercise_date: The restricted stock units vest in three annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.

F2 · derivative.expiration_date: The restricted stock units vest in three annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.

SEC source: 0001140361-17-014667 · doc1.xml · derivative · entry 2

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,346

Underlying: Common Stock · 15,346 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit represents the right to receive one share of common stock or an equivalent amount of cash.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company or its subsidiaries on the applicable vesting date.

SEC source: 0001140361-17-030253 · doc1.xml · derivative · entry 3

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,346

Underlying: Common Stock · 15,346 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each restricted stock unit represents the right to receive one share of common stock or an equivalent amount of cash.

F2 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company.

F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning April 3, 2018, subject to the Reporting Person's continued employment or service with the Company.

SEC source: 0001140361-17-014377 · doc1.xml · nonDerivative · entry 2

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,415

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001140361-17-014377 · doc1.xml · nonDerivative · entry 1

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442,650

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001140361-17-013788 · doc1.xml · nonDerivative · entry 1

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,766

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001140361-17-013465 · doc1.xml · nonDerivative · entry 2

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 445,526

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001140361-17-013465 · doc1.xml · nonDerivative · entry 1

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,275

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001140361-17-013036 · doc1.xml · nonDerivative · entry 2

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 460,776

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001140361-17-013036 · doc1.xml · nonDerivative · entry 1

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 464,766

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $8.75 to $8.80, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc., any security holder of Lindblad Expeditions Holdings, Inc., or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

SEC source: 0001140361-17-012957 · doc1.xml · nonDerivative · entry 2

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 475,359

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001140361-17-013288 · doc1.xml · derivative · entry 3

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 382,170

Underlying: Common Stock · 95,542 shares

Expires 2018-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: A portion of the remaining options are subject to vesting, based on continued employment, on December 31, 2017 (25% of the original amount).

SEC source: 0001140361-17-013288 · doc1.xml · nonDerivative · entry 1

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,601

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001140361-17-014665 · doc1.xml · derivative · entry 3

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 382,170

Underlying: Common Stock · 95,542 shares

Expires 2018-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: A portion of the remaining options are subject to vesting, based on continued employment, on December 31, 2017 (25% of the original amount).

SEC source: 0001140361-17-014665 · doc1.xml · nonDerivative · entry 2

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,172

F1 · date: Amendment is being filed to correct the transaction date.

SEC source: 0001140361-17-014665 · doc1.xml · nonDerivative · entry 1

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,601

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001140361-17-012957 · doc1.xml · nonDerivative · entry 1

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 475,670

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001140361-17-012864 · doc1.xml · nonDerivative · entry 1

Rogers Ian · CIK 0001639280 · COO and VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 479,166

F1 · shares: Represents shares sold pursuant to a Rule 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $8.75 to $8,87, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc., any security holder of Lindblad Expeditions Holdings, Inc., or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

SEC source: 0001140361-17-001576 · doc1.xml · nonDerivative · entry 1

Lindblad Sven-Olof · CIK 0001639304 · Director · CEO, President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,394,277

F1 · price: The reported shares were contributed to Lindblad Expeditions Holdings, Inc.(the "Issuer") to fund the Lindblad Expeditions Holdings, Inc. 2016 CEO Share Allocation Plan, which was approved by the Issuer's stockholders on June 2, 2016, without any cost or charge, pursuant to a Contribution Agreement dated as of July 6, 2016, by and between the Issuer and the reporting person.

SEC source: 0001140361-17-016152 · doc1.xml · nonDerivative · entry 2

Fontaine Richard P. · CIK 0001639275 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,295

SEC source: 0001140361-17-016152 · doc1.xml · nonDerivative · entry 1

Fontaine Richard P. · CIK 0001639275 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · date: Restricted stock granted to the Reporting person as part of the 2016 CEO Allocation Plan. 1,667 of the shares vested immediately and the remaining shares vest in equal installments on January 10, 2018 and 2019.

SEC source: 0001140361-16-090750 · doc1.xml · nonDerivative · entry 1

Lindblad Sven-Olof · CIK 0001639304 · Director · CEO, President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,110,827

F1 · price: The reported shares were given as a gift to Rare Inc., for no consideration, after having been owned by the reporting party for more than one year.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 17

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,638,016

F2 · ownership.nature: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 16

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,865,982

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 15

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,718,016

F11 · price: 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.

F2 · ownership.nature: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 14

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,185,982

F11 · price: 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.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 13

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,723,016

F10 · price: 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.

F2 · ownership.nature: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 12

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,190,982

F10 · price: 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.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 11

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,728,016

F9 · price: 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.

F2 · ownership.nature: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 10

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,195,982

F9 · price: 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.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 9

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,733,016

F8 · price: 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.

F2 · ownership.nature: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 8

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,200,982

F8 · price: 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.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 7

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,738,016

F7 · price: 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.

F2 · ownership.nature: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 6

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,205,982

F7 · price: 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.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 5

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,210,982

F6 · price: 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.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0001140361-16-079050 · doc1.xml · derivative · entry 2

FELENSTEIN CRAIG · CIK 0001683568 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires not disclosed

F2 · derivative.exercise_date: The options vest annually pro rata over a four-year period.

F2 · derivative.expiration_date: The options vest annually pro rata over a four-year period.

SEC source: 0001140361-16-079050 · doc1.xml · nonDerivative · entry 1

FELENSTEIN CRAIG · CIK 0001683568 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F1 · price: Restricted stock granted under the 2015 Long Term Incentive Plan. The restricted stock vests annually pro rata over a four-year period.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 4

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,215,119

F5 · price: 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.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 3

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,223,719

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 2

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,226,219

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002096 · form4.xml · nonDerivative · entry 1

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,227,128

F4 · price: 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).

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002095 · form4.xml · nonDerivative · entry 23

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,569,511

F17 · price: This price reflects the weighted average price for open-market sales of Shares on August 26, 2016, within a $1.00 range. The actual prices for these transactions range from $8.98 to $9.08, inclusive.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002095 · form4.xml · nonDerivative · entry 22

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,579,511

F16 · price: This price reflects the weighted average price for open-market sales of Shares on August 25, 2016, within a $1.00 range. The actual prices for these transactions range from $8.94 to $9.06, inclusive.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002095 · form4.xml · nonDerivative · entry 21

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,589,511

F15 · price: This price reflects the weighted average price for open-market sales of Shares on August 24, 2016, within a $1.00 range. The actual prices for these transactions range from $8.75 to $9.04, inclusive.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002095 · form4.xml · nonDerivative · entry 20

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,599,511

F14 · price: This price reflects the weighted average price for open-market sales of Shares on August 23, 2016, within a $1.00 range. The actual prices for these transactions range from $8.75 to $8.94, inclusive.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002095 · form4.xml · nonDerivative · entry 19

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,609,511

F13 · price: This price reflects the weighted average price for open-market sales of Shares on August 22, 2016, within a $1.00 range. The actual prices for these transactions range from $8.73 to $8.89, inclusive.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.

SEC source: 0000905148-16-002095 · form4.xml · nonDerivative · entry 18

Killinger Johann · CIK 0001647727 · 10% owner

Baldeweg Dirk Klaus · CIK 0001647744 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,619,511

F12 · price: This price reflects the weighted average price for open-market sales of Shares on August 19, 2016, within a $1.00 range. The actual prices for these transactions range from $8.71 to $8.85, inclusive.

F1 · ownership.nature: 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.

F3 · ownership.nature: 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.