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LIND

LINDBLAD EXPEDITIONS HOLDINGS, INC.

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Tapewire entity
1943
SEC CIK
0001512499
Parsed reports
501

Last 12 months

Inside the activity.

0 purchase rows · 34 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202501
Jan 2026015
Feb 202607
Mar 202602
Apr 202600
May 202607
Jun 202602
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 05, 2023 Filed May 9, 2023 20:43 UTC
EIN MARKDirector
OtherPrepaid Variable Forward Sale Contract · Derivative 49,700 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-012471 · doc4.xml · derivative · entry 4

EIN MARK · CIK 0001246840 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by Capital Acquisition Management 2, LLC

Disclosed balance after: 1,192,800

Underlying: Common Stock · 49,700 shares

Expires 2023-05-05

F1 · derivative.exercise_price: On May 5, 2023 and May 8, 2023, the Reporting Person settled a portion of an existing and previously reported variable prepaid forward sale contract (the "VPF") with Citibank, N.A. ("Citibank") that was entered into on May 19, 2021.

F2 · derivative.exercise_price: he VPF is divided into 25 components (each a "Component"). For each Component, the Reporting Person is obligated to deliver to Citibank, on the settlement date (the "Settlement Date"), determined based on the specified scheduled valuation date within the period from May 3, 2023 to June 7, 2023, either, at the reporting person's option, (i) up to 49,700 shares of common stock of the Issuer ("Shares") (such Share number, "Subject Number") based on the average market price of the Shares determined as described below in Remarks or (ii) an amount of cash equivalent to the value of such Shares. In exchange for assuming the obligation under each contract, the reporting person received an upfront cash prepayment of $15,205,404 from Citibank.

F1 · kind: On May 5, 2023 and May 8, 2023, the Reporting Person settled a portion of an existing and previously reported variable prepaid forward sale contract (the "VPF") with Citibank, N.A. ("Citibank") that was entered into on May 19, 2021.

F2 · kind: he VPF is divided into 25 components (each a "Component"). For each Component, the Reporting Person is obligated to deliver to Citibank, on the settlement date (the "Settlement Date"), determined based on the specified scheduled valuation date within the period from May 3, 2023 to June 7, 2023, either, at the reporting person's option, (i) up to 49,700 shares of common stock of the Issuer ("Shares") (such Share number, "Subject Number") based on the average market price of the Shares determined as described below in Remarks or (ii) an amount of cash equivalent to the value of such Shares. In exchange for assuming the obligation under each contract, the reporting person received an upfront cash prepayment of $15,205,404 from Citibank.

F1 · price: On May 5, 2023 and May 8, 2023, the Reporting Person settled a portion of an existing and previously reported variable prepaid forward sale contract (the "VPF") with Citibank, N.A. ("Citibank") that was entered into on May 19, 2021.

F2 · price: he VPF is divided into 25 components (each a "Component"). For each Component, the Reporting Person is obligated to deliver to Citibank, on the settlement date (the "Settlement Date"), determined based on the specified scheduled valuation date within the period from May 3, 2023 to June 7, 2023, either, at the reporting person's option, (i) up to 49,700 shares of common stock of the Issuer ("Shares") (such Share number, "Subject Number") based on the average market price of the Shares determined as described below in Remarks or (ii) an amount of cash equivalent to the value of such Shares. In exchange for assuming the obligation under each contract, the reporting person received an upfront cash prepayment of $15,205,404 from Citibank.

F3 · ownership.nature: Leland Investments Inc., an entity controlled by Mr. Ein, is the sole member of Capital Acquisition Management 2 LLC.

Read SEC document
May 05, 2023 Filed May 9, 2023 20:43 UTC
EIN MARKDirector
OtherCommon Stock 49,700 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-012471 · doc4.xml · nonDerivative · entry 1

EIN MARK · CIK 0001246840 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · by Capital Acquisition Management 2, LLC

Disclosed balance after: 4,667,167

F1 · kind: On May 5, 2023 and May 8, 2023, the Reporting Person settled a portion of an existing and previously reported variable prepaid forward sale contract (the "VPF") with Citibank, N.A. ("Citibank") that was entered into on May 19, 2021.

F2 · kind: he VPF is divided into 25 components (each a "Component"). For each Component, the Reporting Person is obligated to deliver to Citibank, on the settlement date (the "Settlement Date"), determined based on the specified scheduled valuation date within the period from May 3, 2023 to June 7, 2023, either, at the reporting person's option, (i) up to 49,700 shares of common stock of the Issuer ("Shares") (such Share number, "Subject Number") based on the average market price of the Shares determined as described below in Remarks or (ii) an amount of cash equivalent to the value of such Shares. In exchange for assuming the obligation under each contract, the reporting person received an upfront cash prepayment of $15,205,404 from Citibank.

F1 · price: On May 5, 2023 and May 8, 2023, the Reporting Person settled a portion of an existing and previously reported variable prepaid forward sale contract (the "VPF") with Citibank, N.A. ("Citibank") that was entered into on May 19, 2021.

F2 · price: he VPF is divided into 25 components (each a "Component"). For each Component, the Reporting Person is obligated to deliver to Citibank, on the settlement date (the "Settlement Date"), determined based on the specified scheduled valuation date within the period from May 3, 2023 to June 7, 2023, either, at the reporting person's option, (i) up to 49,700 shares of common stock of the Issuer ("Shares") (such Share number, "Subject Number") based on the average market price of the Shares determined as described below in Remarks or (ii) an amount of cash equivalent to the value of such Shares. In exchange for assuming the obligation under each contract, the reporting person received an upfront cash prepayment of $15,205,404 from Citibank.

F3 · ownership.nature: Leland Investments Inc., an entity controlled by Mr. Ein, is the sole member of Capital Acquisition Management 2 LLC.

Read SEC document
May 04, 2023 Filed May 5, 2023 21:07 UTC
Lindblad Sven-OlofDirector · 10% owner
SaleCommon Stock 2,850 $12.05 $34,353.05
Disclosure

SEC source: 0000897069-23-000405 · form4.xml · nonDerivative · entry 1

Lindblad Sven-Olof · CIK 0001639304 · Director · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,673,558

F1 · price: Sales were made pursuant to a Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. The prices actually received ranged from $12.0000 to $12.0900. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

Read SEC document
April 20, 2023 Filed Apr 22, 2023 00:55 UTC
Lindblad Sven-OlofDirector · 10% owner
SaleCommon Stock 4,841 $12.01 $58,140.41
Disclosure

SEC source: 0000897069-23-000311 · form4.xml · nonDerivative · entry 1

Lindblad Sven-Olof · CIK 0001639304 · Director · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 11,676,408

F1 · price: Sales were made pursuant to a Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. The prices actually received ranged from $12.00 to $12.03. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 18:49 UTC
BRODSKY NOAHChief Commercial Officer
GrantCommon Stock 23,536 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000233 · form4.xml · nonDerivative · entry 1

BRODSKY NOAH · CIK 0001741639 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,012

F1 · kind: Represents award of restricted stock units vesting annually on March 31, 2024, 2025 and 2026, subject to continued service.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 23:28 UTC
FELENSTEIN CRAIGChief Financial Officer
Tax withholdingCommon Stock 5,119 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000235 · form4.xml · nonDerivative · entry 2

FELENSTEIN CRAIG · CIK 0001683568 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 201,037

Read SEC document
March 31, 2023 Filed Apr 4, 2023 23:28 UTC
FELENSTEIN CRAIGChief Financial Officer
GrantCommon Stock 24,843 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000235 · form4.xml · nonDerivative · entry 1

FELENSTEIN CRAIG · CIK 0001683568 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,156

F1 · kind: Represents award of restricted stock units vesting annually on March 31, 2024, 2025 and 2026, subject to continued service.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 21:41 UTC
BRESSLER BENJAMINPresident of Natural Habitat
GrantCommon Stock 10,460 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000217 · form4.xml · nonDerivative · entry 1

BRESSLER BENJAMIN · CIK 0001674110 · President of Natural Habitat

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,460

F1 · kind: Represents award of restricted stock units vesting annually on March 31, 2024, 2025 and 2026, subject to continued service.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 21:55 UTC
EIN MARKDirector
GrantRestricted Stock Units 2,745 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000219 · form4.xml · nonDerivative · entry 1

EIN MARK · CIK 0001246840 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 288,394

F1 · kind: Represents director's fees paid in restricted stock units.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 17:32 UTC GrantRestricted Stock Units 1,438 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000215 · form4.xml · nonDerivative · entry 1

ARONSON BERNARD W · CIK 0001227370 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,241

F1 · kind: Represents director's fees paid in restricted stock units.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 23:32 UTC
Byus TreyChief Expedition Officer
Tax withholdingCommon Stock 2,422 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000239 · form4.xml · nonDerivative · entry 2

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,067

Read SEC document
March 31, 2023 Filed Apr 4, 2023 23:32 UTC
Byus TreyChief Expedition Officer
GrantCommon Stock 18,305 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000239 · form4.xml · nonDerivative · entry 1

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,489

F1 · kind: Represents award of restricted stock units vesting annually on March 31, 2024, 2025 and 2026, subject to continued service.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 23:30 UTC
Berle Dolf ADirector · CEO
Tax withholdingCommon Stock 2,501 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000237 · form4.xml · nonDerivative · entry 2

Berle Dolf A · CIK 0001557260 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,759

Read SEC document
March 31, 2023 Filed Apr 4, 2023 23:30 UTC
Berle Dolf ADirector · CEO
GrantCommon Stock 30,073 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000237 · form4.xml · nonDerivative · entry 1

Berle Dolf A · CIK 0001557260 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 182,260

F1 · kind: Represents award of restricted stock units vesting annually on March 31, 2024, 2025 and 2026, subject to continued service.

Read SEC document
March 31, 2023 Filed Apr 28, 2023 20:51 UTC
FELENSTEIN CRAIGChief Financial Officer
Tax withholdingCommon Stock 9,269 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000354 · form4.xml · nonDerivative · entry 1

FELENSTEIN CRAIG · CIK 0001683568 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 191,768

F1 · shares: Represents shares withheld for taxes upon the vesting of performance shares.

Read SEC document
March 31, 2023 Filed Apr 28, 2023 21:02 UTC
Byus TreyChief Expedition Officer
Tax withholdingCommon Stock 4,132 $0.00 $0.00
Disclosure

SEC source: 0000897069-23-000356 · form4.xml · nonDerivative · entry 1

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,935

F1 · shares: Represents shares withheld for taxes upon the vesting of performance shares.

Read SEC document
February 07, 2023 Filed Feb 8, 2023 21:25 UTC
Lindblad Sven-OlofDirector · 10% owner
SaleCommon Stock 14,585 $12.09 $176,332.65
Disclosure

SEC source: 0001567619-23-002082 · doc1.xml · nonDerivative · entry 1

Lindblad Sven-Olof · CIK 0001639304 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,681,249

F1 · price: Sales were made pursuant to a Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. The prices actually received ranged from $12.00 to $12.33. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

Read SEC document
February 03, 2023 Filed Feb 7, 2023 21:19 UTC
Lindblad Sven-OlofDirector · 10% owner
SaleCommon Stock 24,033 $12.07 $290,078.31
Disclosure

SEC source: 0001567619-23-002006 · doc1.xml · nonDerivative · entry 1

Lindblad Sven-Olof · CIK 0001639304 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,695,834

F1 · price: Sales were made pursuant to a Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. The prices actually received ranged from $12.00 to $12.23. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

Read SEC document
February 02, 2023 Filed Feb 3, 2023 21:22 UTC
Lindblad Sven-OlofDirector · 10% owner
SaleCommon Stock 84,821 $12.26 $1,039,905.46
Disclosure

SEC source: 0001567619-23-001810 · doc1.xml · nonDerivative · entry 2

Lindblad Sven-Olof · CIK 0001639304 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,719,867

F2 · price: Sales were made pursuant to a Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. The prices actually received ranged from $12.01 to $12.45. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

Read SEC document
February 01, 2023 Filed Feb 3, 2023 21:22 UTC
Lindblad Sven-OlofDirector · 10% owner
SaleCommon Stock 57,425 $12.07 $693,119.75
Disclosure

SEC source: 0001567619-23-001810 · doc1.xml · nonDerivative · entry 1

Lindblad Sven-Olof · CIK 0001639304 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,804,688

F1 · price: Sales were made pursuant to a Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price. The prices actually received ranged from $12.00 to $12.26. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

Read SEC document
December 31, 2022 Filed Jan 3, 2023 21:36 UTC
EIN MARKDirector · 10% owner
GrantRestricted Stock Units 3,409 $0.00 $0.00
Disclosure

SEC source: 0001567619-23-000039 · doc1.xml · nonDerivative · entry 1

EIN MARK · CIK 0001246840 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,649

F1 · kind: Represents director's fees paid in restricted stock units.

Read SEC document
December 31, 2022 Filed Jan 3, 2023 16:39 UTC GrantRestricted Stock Units 1,785 $0.00 $0.00
Disclosure

SEC source: 0001567619-23-000040 · doc1.xml · nonDerivative · entry 1

ARONSON BERNARD W · CIK 0001227370 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,803

F1 · kind: Represents director's fees paid in restricted stock units.

Read SEC document
December 21, 2022 Filed Dec 22, 2022 22:39 UTC
FELENSTEIN CRAIGChief Financial Officer
Tax withholdingCommon Stock 5,485 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-021952 · doc1.xml · nonDerivative · entry 1

FELENSTEIN CRAIG · CIK 0001683568 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,313

Read SEC document
December 21, 2022 Filed Dec 22, 2022 22:37 UTC
Byus TreyChief Expedition Officer
Tax withholdingCommon Stock 7,645 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-021951 · doc1.xml · nonDerivative · entry 1

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,184

Read SEC document
December 21, 2022 Filed Jan 13, 2023 14:50 UTC
Lindblad Sven-OlofDirector · 10% owner
GiftRestricted Stock 262,500 $0.00 $0.00
Disclosure

SEC source: 0001567619-23-000906 · doc1.xml · nonDerivative · entry 1

Lindblad Sven-Olof · CIK 0001639304 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,862,113

Read SEC document
December 08, 2022 Filed Dec 12, 2022 14:41 UTC
FELENSTEIN CRAIGChief Financial Officer
Tax withholdingCommon Stock 2,553 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-021467 · doc1.xml · nonDerivative · entry 1

FELENSTEIN CRAIG · CIK 0001683568 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,798

Read SEC document
September 30, 2022 Filed Oct 4, 2022 13:27 UTC
EIN MARKDirector · 10% owner
GrantRestricted Stock Units 2,883 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-018083 · doc1.xml · nonDerivative · entry 1

EIN MARK · CIK 0001246840 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,240

F1 · kind: Represents director's fees paid in restricted stock units.

Read SEC document
September 30, 2022 Filed Oct 4, 2022 09:28 UTC GrantRestricted Stock Units 2,034 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-018084 · doc1.xml · nonDerivative · entry 1

ARONSON BERNARD W · CIK 0001227370 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,018

F1 · kind: Represents director's fees paid in restricted stock units.

Read SEC document
September 01, 2022 Filed Sep 6, 2022 22:41 UTC PurchaseCommon Stock 3,000 $7.55 $22,650.00
Disclosure

SEC source: 0001567619-22-017085 · doc1.xml · nonDerivative · entry 1

FAHEY JOHN M JR · CIK 0001255402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,831

Read SEC document
August 19, 2022 Filed Aug 22, 2022 20:40 UTC SaleCommon Stock 75,000 $10.04 $753,000.00
Disclosure

SEC source: 0001567619-22-016538 · doc1.xml · nonDerivative · entry 2

Smith, Jr. Thomas S. · CIK 0001601765 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,462

Read SEC document
August 18, 2022 Filed Aug 22, 2022 20:40 UTC SaleCommon Stock 15,000 $11.29 $169,350.00
Disclosure

SEC source: 0001567619-22-016538 · doc1.xml · nonDerivative · entry 1

Smith, Jr. Thomas S. · CIK 0001601765 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,462

Read SEC document
August 08, 2022 Filed Aug 9, 2022 23:26 UTC GrantRestricted Stock 9,615 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-015382 · doc1.xml · nonDerivative · entry 1

BISNOW MICHAEL ELLIOTT · CIK 0001726313 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,692

F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.

Read SEC document
August 08, 2022 Filed Aug 9, 2022 23:35 UTC GrantRestricted Stock 9,615 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-015390 · doc1.xml · nonDerivative · entry 1

Reynolds Catherine B · CIK 0001292209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,431

F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.

Read SEC document
August 08, 2022 Filed Aug 9, 2022 19:34 UTC GrantRestricted Stock 9,615 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-015389 · doc1.xml · nonDerivative · entry 1

ARONSON BERNARD W · CIK 0001227370 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,984

F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.

Read SEC document
August 08, 2022 Filed Aug 9, 2022 23:29 UTC GrantRestricted Stock 9,615 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-015386 · doc1.xml · nonDerivative · entry 1

FAHEY JOHN M JR · CIK 0001255402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,831

F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.

Read SEC document
August 08, 2022 Filed Aug 9, 2022 23:33 UTC GrantRestricted Stock 9,615 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-015388 · doc1.xml · nonDerivative · entry 1

Dryden L. Dyson · CIK 0001574445 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 956,959

F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.

Read SEC document
August 08, 2022 Filed Aug 9, 2022 23:30 UTC
Lindblad Sven-OlofDirector · 10% owner
GrantRestricted Stock 9,615 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-015387 · doc1.xml · nonDerivative · entry 1

Lindblad Sven-Olof · CIK 0001639304 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,124,613

F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.

Read SEC document
August 08, 2022 Filed Aug 9, 2022 23:24 UTC GrantRestricted Stock 9,615 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-015381 · doc1.xml · nonDerivative · entry 1

Smith, Jr. Thomas S. · CIK 0001601765 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,462

F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.

Read SEC document
August 08, 2022 Filed Aug 9, 2022 23:23 UTC GrantRestricted Stock 9,615 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-015380 · doc1.xml · nonDerivative · entry 1

SCHULTZ ALEX P · CIK 0001915180 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,815

F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.

Read SEC document
August 08, 2022 Filed Aug 10, 2022 18:42 UTC
EIN MARKDirector · 10% owner
GrantRestricted Stock 9,615 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-015456 · doc1.xml · nonDerivative · entry 1

EIN MARK · CIK 0001246840 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,357

F1 · kind: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.

Read SEC document
June 30, 2022 Filed Jul 1, 2022 19:52 UTC GrantRestricted Stock Units 1,697 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-013613 · doc1.xml · nonDerivative · entry 1

ARONSON BERNARD W · CIK 0001227370 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,369

F1 · kind: Represents director's fees paid in restricted stock units.

Read SEC document
June 30, 2022 Filed Jul 5, 2022 20:22 UTC
EIN MARKDirector · 10% owner
GrantRestricted Stock Units 3,240 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-013671 · doc1.xml · nonDerivative · entry 1

EIN MARK · CIK 0001246840 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,742

F1 · kind: Represents director's fees paid in restricted stock units.

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June 10, 2022 Filed Jun 14, 2022 16:48 UTC
BRODSKY NOAHChief Commercial Officer
GrantStock Option (right to buy) · Derivative 40,000 $0.00 Strike: $12.64 $0.00
Disclosure

SEC source: 0001567619-22-012837 · doc1.xml · derivative · entry 2

BRODSKY NOAH · CIK 0001741639 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-10

F1 · derivative.exercise_date: The options vest annually pro rata over a four-year period.

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June 03, 2022 Filed Jun 6, 2022 21:43 UTC
Berle Dolf ADirector · CEO
Tax withholdingCommon Stock 2,847 $0.00 $0.00
Disclosure

SEC source: 0001567619-22-012395 · doc1.xml · nonDerivative · entry 1

Berle Dolf A · CIK 0001557260 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,187

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May 31, 2022 Filed Jun 2, 2022 16:59 UTC
BRODSKY NOAHChief Commercial Officer
GrantStock Option (right to buy) · Derivative 160,458 $0.00 Strike: $14.36 $0.00
Disclosure

SEC source: 0001567619-22-012166 · doc1.xml · derivative · entry 2

BRODSKY NOAH · CIK 0001741639 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,458

Underlying: Common Stock · 160,458 shares

Expires 2032-05-31

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

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May 31, 2022 Filed Jun 2, 2022 16:59 UTC
BRODSKY NOAHChief Commercial Officer
GrantRestricted Stock Unit Grant 30,467 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-22-012166 · doc1.xml · nonDerivative · entry 1

BRODSKY NOAH · CIK 0001741639 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,467

F1 · price: Restricted stock unit granted under the 2021 Long Term Incentive Plan. The restricted stock vests annually pro rata over a four-year period.

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May 02, 2022 Filed May 6, 2022 20:06 UTC
Byus TreyChief Expedition Officer
SaleCommon Stock 16,160 $15.20 $245,632.00
Disclosure

SEC source: 0001567619-22-009671 · doc1.xml · nonDerivative · entry 1

Byus Trey · CIK 0001639447 · Chief Expedition Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,829

F1 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $15.00 to $15.64. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

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April 28, 2022 Filed May 2, 2022 23:21 UTC SaleCommon Stock 10,461 $16.50 $172,630.56
Disclosure

SEC source: 0001567619-22-009317 · doc1.xml · nonDerivative · entry 1

Dryden L. Dyson · CIK 0001574445 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 947,344

F1 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $16.50 to $16.5250. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

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April 25, 2022 Filed Apr 27, 2022 20:38 UTC SaleCommon Stock 17,333 $16.50 $286,034.37
Disclosure

SEC source: 0001567619-22-009030 · doc1.xml · nonDerivative · entry 1

Dryden L. Dyson · CIK 0001574445 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 957,805

F1 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $16.50 to $16.53. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

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April 22, 2022 Filed Apr 25, 2022 20:59 UTC SaleCommon Stock 31,801 $16.42 $522,181.96
Disclosure

SEC source: 0001567619-22-008913 · doc1.xml · nonDerivative · entry 2

Dryden L. Dyson · CIK 0001574445 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 975,138

F2 · price: The price reported in Column 4 is a weighted average price. The prices actually received ranged from $16.25 to $16.54. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.