Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CISION LTD.CISN · Entity 152039 | Director | January 31, 2020 | February 03, 2020 |
| Custom Truck One Source, Inc.CTOS · Entity 4503 | Director | March 31, 2026 | April 02, 2026 |
| Doma Holdings, Inc.DOMA · Entity 85310 | Director | February 23, 2022 | February 24, 2022 |
| LINDBLAD EXPEDITIONS HOLDINGS, INC.LIND · Entity 1943 | Director | August 08, 2026 | August 11, 2026 |
| Soho House & Co Inc.SHCO · Entity 11106 | Director | January 16, 2026 | January 20, 2026 |
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.
CISION LTD.
Report date January 31, 2020 · Filed February 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 3,472,214 |
Reported balance
After 2019-12-12 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-12-12 · Gift · Disposed 103,000 · Balance 3,472,214 F1: Shares held by Capitol Acquisition Management 3 LLC, an entity controlled by Mr. Ein. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 3,369,214 |
Reported balance
After 2019-12-13 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-12-13 · Gift · Disposed 103,000 · Balance 3,369,214 F1: Shares held by Capitol Acquisition Management 3 LLC, an entity controlled by Mr. Ein. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2020-01-31 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-01-31 · Disposition to issuer · Disposed 3,369,214 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "merger agreement"), dated as of October 22, 2019, by and among Cision Ltd. (the "Company"), Castle Acquisition Limited (f/k/a MJ23 UK Acquisition Limited, "Parent") and Castle Merger Limited ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation as a wholly owned subsidiary of Parent (the "merger"). The Merger became effective on January 31, 2020 (the "Closing Date"). Pursuant to the merger, each Cision ordinary share issued and outstanding immediately prior to the effective time of the merger was cancelled and exchanged at the effective time of the merger into the right to receive merger consideration of $10.00 in cash. F1: Shares held by Capitol Acquisition Management 3 LLC, an entity controlled by Mr. Ein. |
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2020-01-31 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2020-01-31 · Disposition to issuer · Disposed 11,865 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "merger agreement"), dated as of October 22, 2019, by and among Cision Ltd. (the "Company"), Castle Acquisition Limited (f/k/a MJ23 UK Acquisition Limited, "Parent") and Castle Merger Limited ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation as a wholly owned subsidiary of Parent (the "merger"). The Merger became effective on January 31, 2020 (the "Closing Date"). Pursuant to the merger, each Cision ordinary share issued and outstanding immediately prior to the effective time of the merger was cancelled and exchanged at the effective time of the merger into the right to receive merger consideration of $10.00 in cash. F3: Shares held by Leland Investments Inc., an entity controlled by Mr. Ein. |
| Ordinary SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-01-31 transaction · row 5
1 source rowRow 5 · 2020-01-31 · Disposition to issuer · Disposed 8,120 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "merger agreement"), dated as of October 22, 2019, by and among Cision Ltd. (the "Company"), Castle Acquisition Limited (f/k/a MJ23 UK Acquisition Limited, "Parent") and Castle Merger Limited ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation as a wholly owned subsidiary of Parent (the "merger"). The Merger became effective on January 31, 2020 (the "Closing Date"). Pursuant to the merger, each Cision ordinary share issued and outstanding immediately prior to the effective time of the merger was cancelled and exchanged at the effective time of the merger into the right to receive merger consideration of $10.00 in cash. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-01-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-01-31 · Disposition to issuer · Disposed 20,260 · Balance 0 F4: Represents restricted stock units ("RSUs") whose vesting was accelerated upon the effectiveness of the merger at the discretion of the board. Pursuant to the merger agreement, such vested RSUs were cancelled and exchanged for the right to receive the merger consideration of $10.00 in cash. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares held by Capitol Acquisition Management 3 LLC, an entity controlled by Mr. Ein.
F2: Pursuant to the Agreement and Plan of Merger (the "merger agreement"), dated as of October 22, 2019, by and among Cision Ltd. (the "Company"), Castle Acquisition Limited (f/k/a MJ23 UK Acquisition Limited, "Parent") and Castle Merger Limited ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company, with the Company continuing as the surviving corporation as a wholly owned subsidiary of Parent (the "merger"). The Merger became effective on January 31, 2020 (the "Closing Date"). Pursuant to the merger, each Cision ordinary share issued and outstanding immediately prior to the effective time of the merger was cancelled and exchanged at the effective time of the merger into the right to receive merger consideration of $10.00 in cash.
F3: Shares held by Leland Investments Inc., an entity controlled by Mr. Ein.
F4: Represents restricted stock units ("RSUs") whose vesting was accelerated upon the effectiveness of the merger at the discretion of the board. Pursuant to the merger agreement, such vested RSUs were cancelled and exchanged for the right to receive the merger consideration of $10.00 in cash.
Custom Truck One Source, Inc.
Report date March 31, 2026 · Filed April 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,166,178 |
Reported balance
After 2026-03-31 transaction · row 1
1 source rowRow 1 · 2026-03-31 · Exercise / conversion · Acquired 26,859 · Balance 5,166,178 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-03-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-03-31 · Exercise / conversion · Disposed 26,859 · Balance 0 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2: The restricted stock units vested in full on March 31, 2026. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 19,225 |
Reported balance
After 2026-04-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2026-04-01 · Grant · Acquired 19,225 · Balance 19,225 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F3: The restricted stock units will vest on March 31, 2027 and have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F2: The restricted stock units vested in full on March 31, 2026.
F3: The restricted stock units will vest on March 31, 2027 and have no expiration date.
Doma Holdings, Inc.
Report date February 23, 2022 · Filed February 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 365,160 |
Reported balance
After 2022-02-23 transaction · row 1
1 source rowRow 1 · 2022-02-23 · Purchase · Acquired 332,970 · Balance 365,160 F1: The price reported in Column 4 represents a weighted average purchase price of $2.404. This transaction was executed in multiple trades at prices ranging from $2.31 to $2.45, inclusive. The reporting person hereby undertakes to provide, upon request, to Doma Holdings, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission full information regarding the number of shares and prices at which the transaction was effected. |
| Common stockSEC Table I · non-derivative | IndirectBy Capitol Acquisition Management V, LLC | 4,101,026 |
Reported balance
Holding disclosure · report date 2022-02-23 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,101,026 F2: Represents holdings by Capitol Acquisition Management V LLC, which is controlled by Mr. Ein. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 represents a weighted average purchase price of $2.404. This transaction was executed in multiple trades at prices ranging from $2.31 to $2.45, inclusive. The reporting person hereby undertakes to provide, upon request, to Doma Holdings, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission full information regarding the number of shares and prices at which the transaction was effected.
F2: Represents holdings by Capitol Acquisition Management V LLC, which is controlled by Mr. Ein.
LINDBLAD EXPEDITIONS HOLDINGS, INC.
Report date August 08, 2026 · Filed August 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted StockSEC Table I · non-derivative | Direct | 331,842 |
Reported balance
After 2026-08-08 transaction · row 1
1 source rowRow 1 · 2026-08-08 · Grant · Acquired 3,240 · Balance 331,842 F1: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service. |
| Common StockSEC Table I · non-derivative | Indirectby Capital Acquisition Management 2, LLC | 3,005,117 |
Reported balance
Holding disclosure · report date 2026-08-08 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,005,117 F2: Leland Investments Inc., an entity controlled by Mr. Ein, is the sole member of Capital Acquisition Management 2 LLC. |
| Prepaid Variable Forward Sale ContractSEC Table II · derivative / convertible security | IndirectSee Footnote | 300,000 |
Reported balance
Holding disclosure · report date 2026-08-08 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 300,000 F3: On May 29, 2026, the reporting person entered into a prepaid variable share forward transaction with Citibank, N.A. ("Citibank"). See Footnote 2 for details of the transaction. F4: The prepaid forward transaction with Citibank is divided into 10 components (each a "Component"). During a specified period during the transaction, the reporting person may request prepayments with respect to one or more Components (each a "Funded Component"), and receive from Citibank for each Funded Component, the present value of the product of (x) the Subject Number (as defined below) for such Funded Component and (y) a forward floor price of $20.16 per Share. For each Funded Component, the reporting person is obligated to deliver to Citibank, on the relevant settlement date, determined based on the specified scheduled valuation date within the period from June 12, 2029 to June 26, 2029, either, at the reporting person's option, (i) up to 30,000 shares of common stock of the Issuer ("Shares") (such Share number, "Subject Number") or (ii) an amount of cash equivalent to the value of such Shares as determined under the terms of the transaction. F5: (Continued from footnote 2) The forward cap price for the transaction is $31.36 per Share. In connection with the transaction, the reporting person will pay an upfront cash payment of $255,360 to Citibank. F6: On July 8, 2015, Capital Acquisition Management 2 LLC acquired 3,456,416 shares of common stock from the Issuer. Leland Investments, Inc., an entity controlled by Mr. Ein, is the sole member of Capitol Acquisition Management 2 LLC. Accordingly, Mr. Ein is deemed to have beneficial ownership of shares held by Capitol Acquisition Management 2 LLC.. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock granted under Long-Term Incentive Plan. The restricted stock vests one year from the date of grant, subject to continued service.
F2: Leland Investments Inc., an entity controlled by Mr. Ein, is the sole member of Capital Acquisition Management 2 LLC.
F3: On May 29, 2026, the reporting person entered into a prepaid variable share forward transaction with Citibank, N.A. ("Citibank"). See Footnote 2 for details of the transaction.
F4: The prepaid forward transaction with Citibank is divided into 10 components (each a "Component"). During a specified period during the transaction, the reporting person may request prepayments with respect to one or more Components (each a "Funded Component"), and receive from Citibank for each Funded Component, the present value of the product of (x) the Subject Number (as defined below) for such Funded Component and (y) a forward floor price of $20.16 per Share. For each Funded Component, the reporting person is obligated to deliver to Citibank, on the relevant settlement date, determined based on the specified scheduled valuation date within the period from June 12, 2029 to June 26, 2029, either, at the reporting person's option, (i) up to 30,000 shares of common stock of the Issuer ("Shares") (such Share number, "Subject Number") or (ii) an amount of cash equivalent to the value of such Shares as determined under the terms of the transaction.
F5: (Continued from footnote 2) The forward cap price for the transaction is $31.36 per Share. In connection with the transaction, the reporting person will pay an upfront cash payment of $255,360 to Citibank.
F6: On July 8, 2015, Capital Acquisition Management 2 LLC acquired 3,456,416 shares of common stock from the Issuer. Leland Investments, Inc., an entity controlled by Mr. Ein, is the sole member of Capitol Acquisition Management 2 LLC. Accordingly, Mr. Ein is deemed to have beneficial ownership of shares held by Capitol Acquisition Management 2 LLC..
Soho House & Co Inc.
Report date January 16, 2026 · Filed January 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 652,090 |
Reported balance
After 2026-01-16 transaction · row 1
1 source rowRow 1 · 2026-01-16 · Exercise / conversion · Acquired 14,175 · Balance 652,090 F1: Each Restricted Stock Unit ("RSU") represents the contingent right to receive one share of Class A common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-01-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-01-16 · Exercise / conversion · Disposed 14,175 · Balance 0 F1: Each Restricted Stock Unit ("RSU") represents the contingent right to receive one share of Class A common stock. F2: These RSUs vested 100% on January 16, 2026. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents the contingent right to receive one share of Class A common stock.
F2: These RSUs vested 100% on January 16, 2026.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Capitol Acquisition Corp. III
Report date June 29, 2017 · Filed July 06, 2017
Section 16 reporting ended · disclosed 2017-07-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Capitol Acquisition Management 3 LLC | 0 |
Reported balance
After 2017-06-29 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-06-29 · Disposition to issuer · Disposed 5,921,250 · Balance 0 F1: On March 19, 2017, Capitol Acquisition Corp. III (the "Issuer"), Capitol Acquisition Holding Company Ltd. ("Holdings"), Capitol Acquisition Merger Sub, Inc., Canyon Holdings (Cayman) L.P. and Canyon Holdings S.a r.l. entered into an Agreement and Plan of Merger (the "Merger Agreement"), which was amended as of April 7, 2017, pursuant to which, and subject to the terms and conditions thereof, on June 29, 2017 (the "Closing Date") the Issuer merged with and into Holdings, with Holdings surviving the merger. On the Closing Date, pursuant to the Merger Agreement, and subject to the terms and conditions thereof, at the effective time of the merger, 1,240,872 shares of common stock of the Issuer were forfeited and the remaining 4,695,378 shares of common stock of the Issuer were disposed of in exchange for the same number of shares in Holdings. F2: Mr. Ein controls Capitol Acquisition Management 3 LLC. |
| Common StockSEC Table I · non-derivative | IndirectBy Leland Investments Inc. | 0 |
Reported balance
After 2017-06-29 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-06-29 · Disposition to issuer · Disposed 15,000 · Balance 0 F1: On March 19, 2017, Capitol Acquisition Corp. III (the "Issuer"), Capitol Acquisition Holding Company Ltd. ("Holdings"), Capitol Acquisition Merger Sub, Inc., Canyon Holdings (Cayman) L.P. and Canyon Holdings S.a r.l. entered into an Agreement and Plan of Merger (the "Merger Agreement"), which was amended as of April 7, 2017, pursuant to which, and subject to the terms and conditions thereof, on June 29, 2017 (the "Closing Date") the Issuer merged with and into Holdings, with Holdings surviving the merger. On the Closing Date, pursuant to the Merger Agreement, and subject to the terms and conditions thereof, at the effective time of the merger, 1,240,872 shares of common stock of the Issuer were forfeited and the remaining 4,695,378 shares of common stock of the Issuer were disposed of in exchange for the same number of shares in Holdings. F3: Mr. Ein controls Leland Investments Inc. |
| WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2022-06-29 | IndirectBy Capitol Acquisition Management 3 LLC | 0 |
Reported balance
After 2017-06-29 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-06-29 · Disposition to issuer · Disposed 5,737,500 · Balance 0 F4: On the Closing Date, pursuant to the Merger Agreement, and subject to the terms and conditions thereof, at the effective time of the merger, 1,456,452 of the Warrants were forfeited and the remaining 4,281,048 Warrants were assumed by Holdings in the Merger. F2: Mr. Ein controls Capitol Acquisition Management 3 LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 19, 2017, Capitol Acquisition Corp. III (the "Issuer"), Capitol Acquisition Holding Company Ltd. ("Holdings"), Capitol Acquisition Merger Sub, Inc., Canyon Holdings (Cayman) L.P. and Canyon Holdings S.a r.l. entered into an Agreement and Plan of Merger (the "Merger Agreement"), which was amended as of April 7, 2017, pursuant to which, and subject to the terms and conditions thereof, on June 29, 2017 (the "Closing Date") the Issuer merged with and into Holdings, with Holdings surviving the merger. On the Closing Date, pursuant to the Merger Agreement, and subject to the terms and conditions thereof, at the effective time of the merger, 1,240,872 shares of common stock of the Issuer were forfeited and the remaining 4,695,378 shares of common stock of the Issuer were disposed of in exchange for the same number of shares in Holdings.
F2: Mr. Ein controls Capitol Acquisition Management 3 LLC.
F3: Mr. Ein controls Leland Investments Inc.
F4: On the Closing Date, pursuant to the Merger Agreement, and subject to the terms and conditions thereof, at the effective time of the merger, 1,456,452 of the Warrants were forfeited and the remaining 4,281,048 Warrants were assumed by Holdings in the Merger.
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 |
|---|---|---|---|---|---|---|
| June 07, 2023 Filed Jun 9, 2023 22:25 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-015273 · 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: 99,400 Underlying: Common Stock · 49,700 shares Expires 2023-06-07 F1 · derivative.exercise_price: On June 7, 2023 and June 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: The 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 June 7, 2023 and June 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: The 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 June 7, 2023 and June 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: The 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 |
| June 07, 2023 Filed Jun 9, 2023 22:25 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-015273 · 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: 3,573,767 F1 · kind: On June 7, 2023 and June 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: The 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 June 7, 2023 and June 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: The 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 |
| June 06, 2023 Filed Jun 7, 2023 19:04 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014698 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 149,100 Underlying: Common Stock · 49,700 shares Expires 2023-06-06 F1 · derivative.exercise_price: On June 5, 2023 and June 6, 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: The 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 June 5, 2023 and June 6, 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: The 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 June 5, 2023 and June 6, 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: The 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 |
| June 06, 2023 Filed Jun 7, 2023 19:04 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014698 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 3,623,467 F1 · kind: On June 5, 2023 and June 6, 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: The 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 June 5, 2023 and June 6, 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: The 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 |
| June 05, 2023 Filed Jun 6, 2023 20:30 UTC | Custom Truck One Source, Inc. CTOS · Entity 4503 | GiftCommon Stock | 39,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-046817 · ownership.xml · nonDerivative · entry 1 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Capitol Acquisition Management IV, LLC Disclosed balance after: 5,503,086 Read SEC document |
| June 05, 2023 Filed Jun 7, 2023 19:04 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014698 · 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: 198,800 Underlying: Common Stock · 49,700 shares Expires 2023-06-05 F1 · derivative.exercise_price: On June 5, 2023 and June 6, 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: The 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 June 5, 2023 and June 6, 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: The 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 June 5, 2023 and June 6, 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: The 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 |
| June 05, 2023 Filed Jun 7, 2023 19:04 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014698 · 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: 3,673,167 F1 · kind: On June 5, 2023 and June 6, 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: The 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 June 5, 2023 and June 6, 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: The 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 |
| June 02, 2023 Filed Jun 5, 2023 20:48 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014468 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 248,500 Underlying: Common Stock · 49,700 shares Expires 2023-06-02 F1 · derivative.exercise_price: On June 1, 2023 and June 2, 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: The 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 June 1, 2023 and June 2, 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: The 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 June 1, 2023 and June 2, 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: The 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 |
| June 02, 2023 Filed Jun 5, 2023 20:48 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014468 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 3,722,867 F1 · kind: On June 1, 2023 and June 2, 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: The 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 June 1, 2023 and June 2, 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: The 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 |
| June 01, 2023 Filed Jun 5, 2023 20:48 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014468 · 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: 298,200 Underlying: Common Stock · 49,700 shares Expires 2023-06-01 F1 · derivative.exercise_price: On June 1, 2023 and June 2, 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: The 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 June 1, 2023 and June 2, 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: The 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 June 1, 2023 and June 2, 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: The 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 |
| June 01, 2023 Filed Jun 5, 2023 20:48 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014468 · 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: 3,772,567 F1 · kind: On June 1, 2023 and June 2, 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: The 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 June 1, 2023 and June 2, 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: The 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 31, 2023 Filed Jun 1, 2023 22:20 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014269 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 347,900 Underlying: Common Stock · 49,700 shares Expires 2023-05-31 F1 · derivative.exercise_price: On May 30, 2023 and May 31, 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: The 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 30, 2023 and May 31, 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: The 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 30, 2023 and May 31, 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: The 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 31, 2023 Filed Jun 1, 2023 22:20 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014269 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 3,822,267 F1 · kind: On May 30, 2023 and May 31, 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: The 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 30, 2023 and May 31, 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: The 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 30, 2023 Filed Jun 1, 2023 22:20 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014269 · 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: 397,600 Underlying: Common Stock · 49,700 shares Expires 2023-05-30 F1 · derivative.exercise_price: On May 30, 2023 and May 31, 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: The 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 30, 2023 and May 31, 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: The 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 30, 2023 and May 31, 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: The 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 30, 2023 Filed Jun 1, 2023 22:20 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014269 · 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: 3,871,967 F1 · kind: On May 30, 2023 and May 31, 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: The 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 30, 2023 and May 31, 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: The 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 26, 2023 Filed May 30, 2023 19:25 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014034 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 447,300 Underlying: Common Stock · 49,700 shares Expires 2023-05-26 F1 · derivative.exercise_price: On May 25, 2023 and May 26, 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: The 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 25, 2023 and May 26, 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: The 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 25, 2023 and May 26, 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: The 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 26, 2023 Filed May 30, 2023 19:25 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014034 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 3,921,667 F1 · kind: On May 25, 2023 and May 26, 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: The 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 25, 2023 and May 26, 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: The 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 25, 2023 Filed May 30, 2023 19:25 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014034 · 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: 497,000 Underlying: Common Stock · 49,700 shares Expires 2023-05-25 F1 · derivative.exercise_price: On May 25, 2023 and May 26, 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: The 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 25, 2023 and May 26, 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: The 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 25, 2023 and May 26, 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: The 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 25, 2023 Filed May 30, 2023 19:25 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-014034 · 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: 3,971,367 F1 · kind: On May 25, 2023 and May 26, 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: The 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 25, 2023 and May 26, 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: The 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 24, 2023 Filed May 25, 2023 18:54 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013869 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 546,700 Underlying: Common Stock · 49,700 shares Expires 2023-05-24 F1 · derivative.exercise_price: On May 23, 2023 and May 24, 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: The 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 23, 2023 and May 24, 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: The 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 24, 2023 Filed May 25, 2023 18:54 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013869 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 4,021,067 F1 · price: On May 23, 2023 and May 24, 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: The 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 24, 2023 Filed May 27, 2023 01:33 UTC | Custom Truck One Source, Inc. CTOS · Entity 4503 | GiftCommon Stock | 164,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-043649 · ownership.xml · nonDerivative · entry 1 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Capitol Acquisition Management IV, LLC Disclosed balance after: 5,542,186 Read SEC document |
| May 23, 2023 Filed May 25, 2023 18:54 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013869 · 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: 596,400 Underlying: Common Stock · 49,700 shares Expires 2023-05-23 F1 · derivative.exercise_price: On May 23, 2023 and May 24, 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: The 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 23, 2023 and May 24, 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: The 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 23, 2023 Filed May 25, 2023 18:54 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013869 · 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: 4,070,767 F1 · price: On May 23, 2023 and May 24, 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: The 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. F2 · ownership.nature: The 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. Read SEC document |
| May 22, 2023 Filed May 23, 2023 18:38 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013723 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 646,100 Underlying: Common Stock · 49,700 shares Expires 2023-05-22 F1 · derivative.exercise_price: On May 19, 2023 and May 22, 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: 2. 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 19, 2023 and May 22, 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: 2. 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 22, 2023 Filed May 23, 2023 18:38 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013723 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 4,120,467 F1 · price: On May 19, 2023 and May 22, 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: 2. 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 19, 2023 Filed May 23, 2023 18:38 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013723 · 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: 695,800 Underlying: Common Stock · 49,700 shares Expires 2023-05-19 F1 · derivative.exercise_price: On May 19, 2023 and May 22, 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: 2. 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 19, 2023 and May 22, 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: 2. 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 19, 2023 Filed May 23, 2023 18:38 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013723 · 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: 4,170,167 F1 · price: On May 19, 2023 and May 22, 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: 2. 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 18, 2023 Filed May 19, 2023 18:35 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013328 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 745,500 Underlying: Common Stock · 49,700 shares Expires 2023-05-18 F1 · derivative.exercise_price: On May 17, 2023 and May 18, 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: The 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 17, 2023 and May 18, 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: The 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 17, 2023 and May 18, 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: The 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 18, 2023 Filed May 19, 2023 18:35 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013328 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 4,219,867 F1 · kind: On May 17, 2023 and May 18, 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: The 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 17, 2023 and May 18, 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: The 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 17, 2023 Filed May 19, 2023 18:35 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013328 · 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: 795,200 Underlying: Common Stock · 49,700 shares Expires 2023-05-17 F1 · derivative.exercise_price: On May 17, 2023 and May 18, 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: The 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 17, 2023 and May 18, 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: The 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 17, 2023 and May 18, 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: The 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 17, 2023 Filed May 19, 2023 18:35 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013328 · 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: 4,269,567 F1 · kind: On May 17, 2023 and May 18, 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: The 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 17, 2023 and May 18, 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: The 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 16, 2023 Filed May 17, 2023 23:24 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013198 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 844,900 Underlying: Common Stock · 49,700 shares Expires 2023-05-16 F1 · derivative.exercise_price: 1. On May 15, 2023 and May 16, 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: 2. The 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: 1. On May 15, 2023 and May 16, 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: 2. The 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: 1. On May 15, 2023 and May 16, 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: 2. The 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: 3. Leland Investments Inc., an entity controlled by Mr. Ein, is the sole member of Capital Acquisition Management 2 LLC. Read SEC document |
| May 16, 2023 Filed May 17, 2023 23:24 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013198 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 4,319,267 F1 · kind: 1. On May 15, 2023 and May 16, 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: 2. The 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: 1. On May 15, 2023 and May 16, 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: 2. The 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: 3. Leland Investments Inc., an entity controlled by Mr. Ein, is the sole member of Capital Acquisition Management 2 LLC. Read SEC document |
| May 15, 2023 Filed May 17, 2023 23:24 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013198 · 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: 894,600 Underlying: Common Stock · 49,700 shares Expires 2023-05-15 F1 · derivative.exercise_price: 1. On May 15, 2023 and May 16, 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: 2. The 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: 1. On May 15, 2023 and May 16, 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: 2. The 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: 1. On May 15, 2023 and May 16, 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: 2. The 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: 3. Leland Investments Inc., an entity controlled by Mr. Ein, is the sole member of Capital Acquisition Management 2 LLC. Read SEC document |
| May 15, 2023 Filed May 17, 2023 23:24 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-013198 · 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: 4,368,967 F1 · kind: 1. On May 15, 2023 and May 16, 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: 2. The 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: 1. On May 15, 2023 and May 16, 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: 2. The 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: 3. Leland Investments Inc., an entity controlled by Mr. Ein, is the sole member of Capital Acquisition Management 2 LLC. Read SEC document |
| May 12, 2023 Filed May 15, 2023 21:23 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012974 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 944,300 Underlying: Common Stock · 49,700 shares Expires 2023-05-12 F1 · derivative.exercise_price: On May 11, 2023 and May 12, 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: The 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 11, 2023 and May 12, 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: The 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 12, 2023 Filed May 15, 2023 21:23 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012974 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 4,418,667 F1 · price: On May 11, 2023 and May 12, 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: The 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 11, 2023 Filed May 15, 2023 21:23 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012974 · 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: 994,000 Underlying: Common Stock · 49,700 shares Expires 2023-05-11 F1 · derivative.exercise_price: On May 11, 2023 and May 12, 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: The 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 11, 2023 and May 12, 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: The 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 11, 2023 Filed May 15, 2023 21:23 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012974 · 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: 4,468,367 F1 · price: On May 11, 2023 and May 12, 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: The 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 10, 2023 Filed May 11, 2023 20:38 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012632 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 1,043,700 Underlying: Common Stock · 49,700 shares Expires 2023-05-10 F1 · derivative.exercise_price: On May 9, 2023 and May 10, 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: The 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 9, 2023 and May 10, 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: The 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 9, 2023 and May 10, 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: The 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 10, 2023 Filed May 11, 2023 20:38 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012632 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 4,518,067 F1 · kind: On May 9, 2023 and May 10, 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: The 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 9, 2023 and May 10, 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: The 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 09, 2023 Filed May 11, 2023 20:38 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012632 · 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: 1,093,400 Underlying: Common Stock · 49,700 shares Expires 2023-05-09 F1 · derivative.exercise_price: On May 9, 2023 and May 10, 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: The 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 9, 2023 and May 10, 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: The 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 9, 2023 and May 10, 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: The 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 09, 2023 Filed May 11, 2023 20:38 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012632 · 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: 4,567,767 F1 · kind: On May 9, 2023 and May 10, 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: The 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 9, 2023 and May 10, 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: The 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 08, 2023 Filed May 9, 2023 20:43 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012471 · doc4.xml · derivative · entry 5 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 1,143,100 Underlying: Common Stock · 49,700 shares Expires 2023-05-08 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 08, 2023 Filed May 9, 2023 20:43 UTC | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-012471 · doc4.xml · nonDerivative · entry 2 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · by Capital Acquisition Management 2, LLC Disclosed balance after: 4,617,467 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 | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherPrepaid Variable Forward Sale Contract · Derivative | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC 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 | LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND · Entity 1943 | OtherCommon Stock | 49,700 | Not disclosed | Not disclosed |
DisclosureSEC 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 |
| April 01, 2023 Filed Apr 5, 2023 00:30 UTC | Custom Truck One Source, Inc. CTOS · Entity 4503 | GrantRestricted Stock Unit · Derivative | 18,640 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-027281 · ownership.xml · derivative · entry 4 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,640 Underlying: Common Stock · 18,640 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F4 · derivative.exercise_date: The restricted stock units will vest on March 31, 2024 and have no expiration date. F4 · derivative.expiration_date: The restricted stock units will vest on March 31, 2024 and have no expiration date. Read SEC document |
| March 31, 2023 Filed Apr 5, 2023 00:30 UTC | Custom Truck One Source, Inc. CTOS · Entity 4503 | Exercise / conversionRestricted Stock Unit · Derivative | 14,315 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-027281 · ownership.xml · derivative · entry 3 EIN MARK · CIK 0001246840 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,315 shares Expires not disclosed 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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F3 · derivative.exercise_date: The restricted stock units vested in full on March 31, 2023. F3 · derivative.expiration_date: The restricted stock units vested in full on March 31, 2023. 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.