Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Dave & Buster's Entertainment, Inc.PLAY · Entity 446 | Pres. & COO | November 10, 2016 | November 14, 2016 |
| LINDBLAD EXPEDITIONS HOLDINGS, INC.LIND · Entity 1943 | Director · CEO | March 31, 2023 | April 04, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Dave & Buster's Entertainment, Inc.
Report date November 10, 2016 · Filed November 14, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1 |
Ending reported balance
After 2016-11-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2016-11-10 · Exercise / conversion · Acquired 3,750 · Balance 3,751 Row 2 · 2016-11-10 · Sale · Disposed 3,750 · Balance 1 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 5, 2016. F2: The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $45.00 to $45.0550, inclusive. The reporting person undertakes to provide to Dave & Buster's Entertainment, Inc., any security holder of Dave & Buster's Entertainment, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.44 · Expires 2021-03-23 | Direct | 236,102 |
Reported balance
After 2016-11-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2016-11-10 · Exercise / conversion · Disposed 3,750 · Balance 236,102 F3: All of the shares subject to the option have previously vested. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 5, 2016.
F2: The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $45.00 to $45.0550, inclusive. The reporting person undertakes to provide to Dave & Buster's Entertainment, Inc., any security holder of Dave & Buster's Entertainment, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4.
F3: All of the shares subject to the option have previously vested.
LINDBLAD EXPEDITIONS HOLDINGS, INC.
Report date March 31, 2023 · Filed April 04, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 179,759 |
Ending reported balance
After 2023-03-31 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-03-31 · Grant · Acquired 30,073 · Balance 182,260 F1: Represents award of restricted stock units vesting annually on March 31, 2024, 2025 and 2026, subject to continued service. Row 2 · 2023-03-31 · Tax withholding · Disposed 2,501 · Balance 179,759 |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.38 · Expires 2031-05-09 | Direct | 1,000,000 |
Reported balance
Holding disclosure · report date 2023-03-31 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 1,000,000 F2: The options vest and become exercisable in five equal annual installments on May 10, 2022, 2023, 2024, 2025, and 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents award of restricted stock units vesting annually on March 31, 2024, 2025 and 2026, subject to continued service.
F2: The options vest and become exercisable in five equal annual installments on May 10, 2022, 2023, 2024, 2025, and 2026.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 31, 2023 Filed Apr 4, 2023 23:30 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | Tax withholdingCommon Stock | 2,501 | $0.00 | $0.00 |
DisclosureSEC 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 | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantCommon Stock | 30,073 | $0.00 | $0.00 |
DisclosureSEC 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 |
| June 03, 2022 Filed Jun 6, 2022 21:43 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | Tax withholdingCommon Stock | 2,847 | $0.00 | $0.00 |
DisclosureSEC 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 Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 21:22 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantCommon Stock | 19,065 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-007971 · doc1.xml · nonDerivative · entry 2 Berle Dolf A · CIK 0001557260 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,034 F2 · acquired: Represents market based equity incentive awards subject to forfeiture and vesting. Read SEC document |
| March 31, 2022 Filed Apr 4, 2022 21:22 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantCommon Stock | 19,065 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-007971 · doc1.xml · nonDerivative · entry 1 Berle Dolf A · CIK 0001557260 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,969 F1 · acquired: Represents award of restricted stock units vesting annually on March 31, 2022, 2023 and 2024, subject to continued service. Read SEC document |
| June 03, 2021 Filed Jun 4, 2021 20:11 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantStock Option (right to buy) · Derivative | 1,000,000 | $0.00 Strike: $16.38 | $0.00 |
DisclosureSEC source: 0001567619-21-011710 · doc1.xml · derivative · entry 2 Berle Dolf A · CIK 0001557260 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2031-05-09 F3 · date: 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. F4 · derivative.exercise_date: 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. Read SEC document |
| June 03, 2021 Filed Jun 4, 2021 20:11 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | GrantRestricted Stock Units | 58,452 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-011710 · doc1.xml · nonDerivative · entry 1 Berle Dolf A · CIK 0001557260 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,904 F1 · security: Securities acquired in connection with the Reporting Person's hiring as Chief Executive Officer by the Company. F2 · acquired: 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. Read SEC document |
| May 28, 2021 Filed Jun 1, 2021 20:32 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | PurchaseCommon Stock | 18,250 | $17.35 | $316,650.28 |
DisclosureSEC source: 0001567619-21-011438 · doc1.xml · nonDerivative · entry 2 Berle Dolf A · CIK 0001557260 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,452 Read SEC document |
| May 27, 2021 Filed Jun 1, 2021 20:32 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | PurchaseCommon Stock | 18,250 | $17.55 | $320,324.00 |
DisclosureSEC source: 0001567619-21-011438 · doc1.xml · nonDerivative · entry 1 Berle Dolf A · CIK 0001557260 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,202 Read SEC document |
| May 20, 2021 Filed May 24, 2021 20:31 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | PurchaseCommon Stock | 21,952 | $16.49 | $362,093.85 |
DisclosureSEC source: 0001567619-21-011052 · doc1.xml · nonDerivative · entry 1 Berle Dolf A · CIK 0001557260 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,952 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $16.29 to $16.50, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 19:29 UTC | Dave & Buster's Entertainment, Inc. PLAY · Entity 446 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,750 | $0.00 Strike: $4.44 | $0.00 |
DisclosureSEC source: 0001209191-16-149654 · doc4.xml · derivative · entry 3 Berle Dolf A · CIK 0001557260 · Pres. & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,102 Underlying: Common Stock · 3,750 shares Expires 2021-03-23 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. F3 · derivative.exercise_date: All of the shares subject to the option have previously vested. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 19:29 UTC | Dave & Buster's Entertainment, Inc. PLAY · Entity 446 | SaleCommon Stock | 3,750 | $45.01 | $168,784.50 |
DisclosureSEC source: 0001209191-16-149654 · doc4.xml · nonDerivative · entry 2 Berle Dolf A · CIK 0001557260 · Pres. & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 5, 2016. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $45.00 to $45.0550, inclusive. The reporting person undertakes to provide to Dave & Buster's Entertainment, Inc., any security holder of Dave & Buster's Entertainment, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 19:29 UTC | Dave & Buster's Entertainment, Inc. PLAY · Entity 446 | Exercise / conversionCommon Stock | 3,750 | $4.44 | $16,650.00 |
DisclosureSEC source: 0001209191-16-149654 · doc4.xml · nonDerivative · entry 1 Berle Dolf A · CIK 0001557260 · Pres. & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,751 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. Read SEC document |
| October 03, 2016 Filed Oct 3, 2016 22:18 UTC | Dave & Buster's Entertainment, Inc. PLAY · Entity 446 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,750 | $0.00 Strike: $4.44 | $0.00 |
DisclosureSEC source: 0001209191-16-143752 · doc4.xml · derivative · entry 3 Berle Dolf A · CIK 0001557260 · Pres. & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,852 Underlying: Common Stock · 3,750 shares Expires 2021-03-23 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. F3 · derivative.exercise_date: All of the shares subject to the option have previously vested. Read SEC document |
| October 03, 2016 Filed Oct 3, 2016 22:18 UTC | Dave & Buster's Entertainment, Inc. PLAY · Entity 446 | SaleCommon Stock | 3,750 | $40.66 | $152,475.00 |
DisclosureSEC source: 0001209191-16-143752 · doc4.xml · nonDerivative · entry 2 Berle Dolf A · CIK 0001557260 · Pres. & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 5, 2016. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $40.36 to $40.96, inclusive. The reporting person undertakes to provide to Dave & Buster's Entertainment, Inc., any security holder of Dave & Buster's Entertainment, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4. Read SEC document |
| October 03, 2016 Filed Oct 3, 2016 22:18 UTC | Dave & Buster's Entertainment, Inc. PLAY · Entity 446 | Exercise / conversionCommon Stock | 3,750 | $4.44 | $16,650.00 |
DisclosureSEC source: 0001209191-16-143752 · doc4.xml · nonDerivative · entry 1 Berle Dolf A · CIK 0001557260 · Pres. & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,751 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. Read SEC document |
| September 30, 2016 Filed Sep 30, 2016 20:52 UTC | Dave & Buster's Entertainment, Inc. PLAY · Entity 446 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $4.44 | $0.00 |
DisclosureSEC source: 0001209191-16-143346 · doc4.xml · derivative · entry 3 Berle Dolf A · CIK 0001557260 · Pres. & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,602 Underlying: Common Stock · 7,500 shares Expires 2021-03-23 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. F3 · derivative.exercise_date: All of the shares subject to the option have previously vested. Read SEC document |
| September 30, 2016 Filed Sep 30, 2016 20:52 UTC | Dave & Buster's Entertainment, Inc. PLAY · Entity 446 | SaleCommon Stock | 7,500 | $38.67 | $290,024.25 |
DisclosureSEC source: 0001209191-16-143346 · doc4.xml · nonDerivative · entry 2 Berle Dolf A · CIK 0001557260 · Pres. & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 5, 2016. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold to multiple transactions at prices ranging from $37.89 to $39.15, inclusive. The reporting person undertakes to provide to Dave & Buster's Entertainment, Inc., any security holder of Dave & Buster's Entertainment, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4. Read SEC document |
| September 30, 2016 Filed Sep 30, 2016 20:52 UTC | Dave & Buster's Entertainment, Inc. PLAY · Entity 446 | Exercise / conversionCommon Stock | 7,500 | $4.44 | $33,300.00 |
DisclosureSEC source: 0001209191-16-143346 · doc4.xml · nonDerivative · entry 1 Berle Dolf A · CIK 0001557260 · Pres. & COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,501 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.