Amendment: SEC Form SC 13D/A filed by Lindblad Expeditions Holdings Inc.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Amendment No. 6)*
Under the Securities Exchange Act of 1934
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Lindblad Expeditions Holdings, Inc.
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(Name of Issuer)
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Common Stock, par value $0.0001
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(Title of Class of Securities)
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535219109
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(CUSIP Number)
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Sven-Olof Lindblad
c/o Lindblad Expeditions Holdings, Inc.
96 Morton Street, 9th Floor
New York, New York 10014
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications) |
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August 21, 2024
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(Date of Event Which Requires Filing of this Statement)
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* |
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
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1
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NAMES OF REPORTING PERSONS
Sven-Olof Lindblad
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) £
(b) £
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
OO
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
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£
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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7
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SOLE VOTING POWER
11,825,063
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8
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SHARED VOTING POWER
0
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9
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SOLE DISPOSITIVE POWER
11,825,063
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10
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SHARED DISPOSITIVE POWER
0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11,825,063
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12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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£
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
21.8%(a)
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14
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TYPE OF REPORTING PERSON
IN
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(a) |
The calculation of the foregoing percentage is based on 54,318,812 shares of the Issuer’s Common Stock outstanding on August 5, 2024.
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(a)
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Name: This statement is being filed by Sven-Olof Lindblad (the “Reporting Person”).
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(b)
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Business Address: 96 Morton Street, 9th Floor, New York, New York 10014.
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(c)
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Principal Occupation or Employment: The Reporting Person is the Chief Executive Officer and a member of the Board of Directors of the Issuer.
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(d)
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Criminal Proceedings: During the last five years, the Reporting Person has not been convicted in a criminal proceeding, excluding traffic violations.
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(e)
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Civil Proceedings: During the last five years, the Reporting Person has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction which
resulted in his being subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.
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(f)
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Citizenship: The Reporting Person is a citizen of the United States of America.
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Exhibit No.
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Description
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1
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Agreement and Plan of Merger, dated as March 9, 2015, by and among the Issuer, Argo Expeditions, LLC, Argo Merger Sub, Inc. and Lindblad Expeditions, Inc. (incorporated by reference from Exhibit 1 to the
Schedule 13D filed on July 9, 2015)
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2
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Registration Rights Agreement dated as of July 8, 2015 by and among the Issuer, the Reporting Person and the Investors signatory thereto (incorporated by reference from Exhibit 3 to the Schedule 13D filed on
July 9, 2015)
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3
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Contribution Agreement, dated as of July 6, 2016, by and among Sven-Olof Lindblad and Lindblad Expeditions Holdings, Inc. (incorporated by reference from Exhibit 10.1 to the Issuer’s Form 10-Q filed on August
8, 2016)
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4
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Lindblad Expeditions Holdings, Inc. 2016 CEO Share Allocation Plan (incorporated by reference from Annex A to the Issuer’s Definitive Proxy Statement filed on April 15, 2016)
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Date: August 26, 2024
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/s/ Sven-Olof Lindblad
Sven-Olof Lindblad
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