LIND CFO gets stock grant, shares withheld for tax

LINDBLAD EXPEDITIONS HOLDINGS, INC.

Rhea-AI Filing Summary

LINDBLAD EXPEDITIONS HOLDINGS, INC. Chief Financial Officer Frederick Goldberg reported routine equity compensation activity. He received a grant of 11,257 shares of common stock in the form of restricted stock units that vest in three equal installments on March 31, 2027, 2028 and 2029, subject to continued service. On the same date, 9,490 shares were disposed of to cover tax obligations related to the award, a non-market transaction. Following these adjustments, he directly owned 72,263 shares of common stock. The amendment was filed solely to correct the amount beneficially owned after the transaction.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Goldberg Frederick

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	11,257	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	9,490	$0.00	$0.00

Holdings After Transaction: Common Stock — 72,263 shares (Direct)

Footnotes (2)

1. F1. Represents award of restricted stock units vesting one-third on March 31, 2027, 2028 and 2029, subject to continued service.
2. F2. Amending solely to correct the amount beneficially owned following the reported transaction.

Key Figures

Equity award: 11,257 shares Tax-withholding shares: 9,490 shares Shares owned after transactions: 72,263 shares

3 metrics

Equity award 11,257 shares Restricted stock unit grant on March 31, 2026

Tax-withholding shares 9,490 shares Shares delivered to satisfy tax obligations on award

Shares owned after transactions 72,263 shares Direct common stock ownership following March 31, 2026 activity

Key Terms

restricted stock units, tax-withholding disposition, beneficially owned

3 terms

restricted stock units financial

"Represents award of restricted stock units vesting one-third on March 31, 2027, 2028 and 2029"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

tax-withholding disposition financial

"transaction_action: tax-withholding disposition"

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

beneficially owned financial

"Amending solely to correct the amount beneficially owned following the reported transaction"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transactions did LIND CFO Frederick Goldberg report on this Form 4/A?

Frederick Goldberg reported an equity award and related tax withholding. He received 11,257 shares of common stock as a restricted stock unit grant, and 9,490 shares were disposed of to satisfy tax obligations tied to that award, with no open-market buying or selling.

How many LIND shares does the CFO own after these transactions?

After the reported compensation and tax-withholding transactions, Frederick Goldberg directly owns 72,263 shares of LINDBLAD EXPEDITIONS common stock. This figure reflects the corrected beneficial ownership amount disclosed in the amended filing following the restricted stock unit award and related tax share disposition.

What are the vesting terms of the LIND restricted stock units granted to the CFO?

The award consists of restricted stock units vesting over three years. One-third of the 11,257-share grant vests on March 31, 2027, another third on March 31, 2028, and the final third on March 31, 2029, conditioned on continued service with the company.

Was the Form 4/A for LIND’s CFO a new transaction or a correction?

The Form 4/A reflects the same underlying March 31, 2026 transactions but corrects ownership details. The amendment states it was filed solely to correct the amount of common stock beneficially owned by the CFO following the previously reported equity award and tax-withholding share disposition.

Did the LIND CFO’s Form 4/A indicate any open-market buying or selling?

No open-market trades were reported in this filing. The activity includes an equity grant coded as an acquisition and a disposition coded as tax withholding, where 9,490 shares were used to cover tax liabilities rather than being sold in the open market.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/06/2026 - 04:36 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Goldberg Frederick

(Last) (First) (Middle)

C/O LINDBLAD EXPEDITIONS HOLDINGS, INC.

11 W 42ND STREET, SUITE 22B3

(Street)

NEW YORK NEW YORK 10036

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
LINDBLAD EXPEDITIONS HOLDINGS, INC. [ LIND ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/31/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)
04/01/2026

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/31/2026		A(1)		11,257	A	$0	81,753	D
Common Stock	03/31/2026		F		9,490	D	$0	72,263(2)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents award of restricted stock units vesting one-third on March 31, 2027, 2028 and 2029, subject to continued service.

2. Amending solely to correct the amount beneficially owned following the reported transaction.

	/s/ John J. Wolfel, Attorney-in-Fact for Frederick Goldberg	04/06/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)