Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
LINDBLAD EXPEDITIONS HOLDINGS, INC.
(Name of Issuer)
Common Stock, $0.0001 par value
(Title of Class of Securities)
535219109
(CUSIP Number)
December 31, 2019
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
Rule 13d-1(b)
Rule 13d-1(c)
Rule 13d-1(d)
* 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 the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 535219109
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1
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NAME OF REPORTING PERSONS
L. Dyson Dryden
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
Not Applicable
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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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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF
SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
5
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SOLE VOTING POWER
1,182,365
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6
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SHARED VOTING POWER
0
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7
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SOLE DISPOSITIVE POWER
1,182,365
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8
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SHARED DISPOSITIVE POWER
0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,182,365
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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□
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.4% (1)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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| (1) |
The percent ownership calculated is based upon an aggregate of 49,716,067 shares outstanding as of October 29, 2019. Amount beneficially owned includes unvested restricted stock.
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CUSIP No. 535219109
| Item 1(a). |
Name of Issuer:
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Lindblad Expeditions Holdings, Inc.
| Item 1(b). |
Address of Issuer’s Principal Executive Offices:
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96 Morton Street, 9th Floor, New York, NY 10014
| Item 2(a). |
Name of Person Filing:
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L. Dyson Dryden
| Item 2(b). |
Address of Principal Business Office or, if none, Residence:
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c/o Lindblad Expeditions Holdings, Inc., 96 Morton Street, 9th Floor, New York, NY 10014
| Item 2(c). |
Citizenship:
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L. Dyson Dryden is a citizen of the United States.
| Item 2(d). |
Title of Class of Securities:
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Common Stock, par value $.0001 per share
| Item 2(e). |
CUSIP Number:
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535219109
| Item 3. |
If this statement is filed pursuant to sections 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
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Not Applicable
CUSIP No. 535219109
| Item 4. |
Ownership:
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| (a) |
Amount Beneficially Owned: 1,182,365
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| (b) |
Percent of Class: 2.4%
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| (c) |
Number of shares as to which such person has:
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| (i) |
sole power to vote or to direct the vote: 1,182,365
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| (ii) |
shared power to
vote or to direct the vote: 0
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| (iii) |
sole power to dispose or to direct the disposition of: 1,182,365
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| (iv) |
shared power to dispose or to direct the disposition of: 0
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| Item 5. |
Ownership of Five Percent or Less of a Class:
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Yes
| Item 6. |
Ownership of More than Five Percent on Behalf of Another Person:
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Not Applicable
| Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:
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Not Applicable
| Item 8. |
Identification and Classification of Members of the Group:
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Not Applicable
| Item 9. |
Notice of Dissolution of Group:
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Not Applicable
CUSIP No. 535219109
| Item 10. |
Certification:
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held
for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
Date: February 5, 2020
/s/ L. Dyson Dryden________
L. Dyson Dryden