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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to Purchase Common Stock (3) | $ 7.265 (2) | 02/10/2009 | A | 1,346 | (4) | 02/10/2019 | Common Stock | 1,346 | $ 0 (5) | 1,346 | D | ||||
Option to Purchase Common Stock (6) | $ 7.265 (2) | 02/10/2009 | A | 14,564 | (7) | 02/10/2019 | Common Stock | 14,564 | $ 0 (5) | 14,564 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pujol Henry L ROYAL CARIBBEAN CRUISES LTD. 1050 CARIBBEAN WAY MIAMI, FL 33132 |
Vice President, Controller |
/s/ Richard Montes de Oca, Attorney-in-Fact for Henry L. Pujol | 02/12/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents the number of shares of common stock withheld by the issuer to cover the reporting person's tax liability associated with the vesting of 43 shares underlying certain restricted stock units on 2/10/09. |
(2) | Represents the average of the high and low prices for the issuer's common stock on the NYSE on 2/10/2009. |
(3) | The reporting person was granted the incentive stock option under the Royal Caribbean Cruises Ltd. 2008 Equity Incentive Plan. |
(4) | The option is exercisable as follows: 337 on each of 2/10/2010 and 2/10/2011 and 336 on each of 2/10/2012 and 2/10/2013. |
(5) | The option was granted without payment thereof as compensation for serving as an executive officer of the issuer. |
(6) | The reporting person was granted the nonqualified stock option under the Royal Caribbean Cruises Ltd. 2008 Equity Incentive Plan. |
(7) | The option is exercisable as follows: 3,641 on each of 2/10/2010, 2/10/2011, 2/10/2012 and 2/10/2013. |