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Killinger Johann

Disclosed activity across 1 company

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180923
SEC CIK
0001647727

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
LINDBLAD EXPEDITIONS HOLDINGS, INC.LIND · Entity 194310% ownerAugust 29, 2016November 21, 2016

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.

LINDBLAD EXPEDITIONS HOLDINGS, INC.

Report date August 29, 2016 · Filed November 21, 2016

Jointly reported with Baldeweg Dirk Klaus

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,227,128 Reported balance After 2016-08-29 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2016-08-29 · Sale · Disposed 342,383 · Balance 2,227,128

F4: 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: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,226,219 Reported balance After 2016-09-01 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2016-09-01 · Sale · Disposed 909 · Balance 2,226,219

F1: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,223,719 Reported balance After 2016-09-02 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 3 · 2016-09-02 · Sale · Disposed 2,500 · Balance 2,223,719

F1: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,215,119 Reported balance After 2016-09-06 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 4 · 2016-09-06 · Sale · Disposed 8,600 · Balance 2,215,119

F5: 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: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,210,982 Reported balance After 2016-09-07 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 5 · 2016-09-07 · Sale · Disposed 4,137 · Balance 2,210,982

F6: 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: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,205,982 Reported balance After 2016-09-21 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 6 · 2016-09-21 · Sale · Disposed 5,000 · Balance 2,205,982

F7: 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: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,738,016 Reported balance After 2016-09-21 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 7 · 2016-09-21 · Sale · Disposed 5,000 · Balance 2,738,016

F7: 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: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,200,982 Reported balance After 2016-09-22 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 8 · 2016-09-22 · Sale · Disposed 5,000 · Balance 2,200,982

F8: 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: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,733,016 Reported balance After 2016-09-22 transaction · row 9 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 9 · 2016-09-22 · Sale · Disposed 5,000 · Balance 2,733,016

F8: 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: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,195,982 Reported balance After 2016-09-23 transaction · row 10 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 10 · 2016-09-23 · Sale · Disposed 5,000 · Balance 2,195,982

F9: 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: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,728,016 Reported balance After 2016-09-23 transaction · row 11 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 11 · 2016-09-23 · Sale · Disposed 5,000 · Balance 2,728,016

F9: 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: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,190,982 Reported balance After 2016-09-26 transaction · row 12 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 12 · 2016-09-26 · Sale · Disposed 5,000 · Balance 2,190,982

F10: 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: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,723,016 Reported balance After 2016-09-26 transaction · row 13 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 13 · 2016-09-26 · Sale · Disposed 5,000 · Balance 2,723,016

F10: 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: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,185,982 Reported balance After 2016-09-27 transaction · row 14 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 14 · 2016-09-27 · Sale · Disposed 5,000 · Balance 2,185,982

F11: 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: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,718,016 Reported balance After 2016-09-27 transaction · row 15 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 15 · 2016-09-27 · Sale · Disposed 5,000 · Balance 2,718,016

F11: 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: These Shares are directly owned by Two Mountain Ltd., for which each of the Reporting Persons serve as director.

F3: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes1,865,982 Reported balance After 2016-09-28 transaction · row 16 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 16 · 2016-09-28 · Sale · Disposed 320,000 · Balance 1,865,982

F1: 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: 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.

Common Stock, $0.0001 par value per shareSEC Table I · non-derivativeIndirectSee Footnotes2,638,016 Reported balance After 2016-09-28 transaction · row 17 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 17 · 2016-09-28 · Sale · Disposed 80,000 · Balance 2,638,016

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

F3: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

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

F3: 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.

F4: 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).

F5: 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.

F6: 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.

F7: 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.

F8: 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.

F9: 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.

F10: 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.

F11: 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.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
July 20, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 2,945 $9.90 $29,165.51
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,853,985

F9 · price: This price reflects the weighted average price for open-market sales of Shares on July 20, 2016, within a $1.00 range. The actual prices for these transactions range from $9.9 to $9.95, 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.

Read SEC document
July 19, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 6,582 $9.87 $64,990.67
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,802,029

F8 · price: This price reflects the weighted average price for open-market sales of Shares on July 19, 2016, within a $1.00 range. The actual prices for these transactions range from $9.87 to $9.95, 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.

Read SEC document
July 19, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 20,864 $9.87 $206,011.14
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,856,930

F8 · price: This price reflects the weighted average price for open-market sales of Shares on July 19, 2016, within a $1.00 range. The actual prices for these transactions range from $9.87 to $9.95, 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.

Read SEC document
July 18, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 3,177 $9.95 $31,611.15
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,877,794

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.

Read SEC document
July 15, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 21,918 $9.97 $218,496.16
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,808,611

F7 · price: This price reflects the weighted average price for open-market sales of Shares on July 15, 2016, within a $1.00 range. The actual prices for these transactions range from $9.92 to $10.02, 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.

Read SEC document
July 15, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 52,000 $9.97 $518,377.60
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,880,971

F7 · price: This price reflects the weighted average price for open-market sales of Shares on July 15, 2016, within a $1.00 range. The actual prices for these transactions range from $9.92 to $10.02, 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.

Read SEC document
July 14, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 5,329 $10.00 $53,290.00
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,932,971

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.

Read SEC document
July 13, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 4,872 $10.00 $48,735.59
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,830,529

F6 · price: This price reflects the weighted average price for open-market sales of Shares on July 13, 2016, within a $1.00 range. The actual prices for these transactions range from $10 to $10.05, 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.

Read SEC document
July 13, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 17,393 $10.00 $173,985.66
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,938,300

F6 · price: This price reflects the weighted average price for open-market sales of Shares on July 13, 2016, within a $1.00 range. The actual prices for these transactions range from $10 to $10.05, 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.

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July 12, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 25,396 $9.99 $253,736.52
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,835,401

F5 · price: This price reflects the weighted average price for open-market sales of Shares on July 12, 2016, within a $1.00 range. The actual prices for these transactions range from $9.92 to $10.05, 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.

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July 12, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 59,061 $9.99 $590,090.26
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,955,693

F5 · price: This price reflects the weighted average price for open-market sales of Shares on July 12, 2016, within a $1.00 range. The actual prices for these transactions range from $9.92 to $10.05, 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.

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July 11, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 2,940 $9.93 $29,203.02
Disclosure

SEC source: 0000905148-16-002094 · 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: 2,860,797

F4 · price: This price reflects the weighted average price for open-market sales of Shares on July 11, 2016, within a $1.00 range. The actual prices for these transactions range from $9.90 to $9.94, 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 (15).

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.

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July 11, 2016 Filed Nov 21, 2016 15:33 UTC LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 SaleCommon Stock, $0.0001 par value per share 13,469 $9.93 $133,787.58
Disclosure

SEC source: 0000905148-16-002094 · 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: 3,014,754

F4 · price: This price reflects the weighted average price for open-market sales of Shares on July 11, 2016, within a $1.00 range. The actual prices for these transactions range from $9.90 to $9.94, 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 (15).

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.

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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.