UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): September 15, 2022
LINDBLAD EXPEDITIONS HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
Delaware | 001-35898 | 27-4749725 | ||
(State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
96 Morton Street, 9th Floor, New York, New York | 10014 | |
(Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number including area code: (212) 261-9000
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230 .425) |
☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading symbol | Name of each exchange on which registered |
Common Stock, par value $0.0001 per share | LIND | The NASDAQ Stock Market LLC |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 1.01 Entry into a Material Definitive Agreement.
On September 15, 2022, a subsidiary of Lindblad Expeditions Holdings, Inc. (the “Company”) entered into a fifth amendment to its Tour Operator Agreement with National Geographic Partners, LLC and a sixth amendment to its Alliance and License Agreement with National Geographic Partners, LLC (collectively, the “Amendments”). The Amendments each add certain confidentiality and data protection and security requirements to each agreement, including specific requirements for the processing, retaining and sharing of personal information and the implementation of information security programs as well as the specific processes and procedures for the handling of any security incidents regarding such information.
The foregoing description of the Amendments are qualified in their entirety by the full text of the respective Amendments, copies of which are attached as Exhibit 10.1 and 10.2, respectively, to this Form 8-K.
Item 9.01 Financial Statements and Exhibits.
Exhibit 10.2 Sixth Amendment to that Alliance and License Agreement, dated as of December 12, 2011, as amended.
104 Cover Page Interactive Data File (embedded within the Inline XBRL document).
2
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
LINDBLAD EXPEDITIONS HOLDINGS, INC. (registrant) | ||||||||
September 16, 2022 | By: | /s/ Craig I. Felenstein | ||||||
Craig I. Felenstein, Chief Financial Officer |