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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 (7) | $ 25.16 (8) | 02/08/2010 | A | 11,920 | (9) | 02/08/2020 | Common Stock | 11,920 | $ 0 (10) | 11,920 | D | ||||
Option to Purchase Common Stock (11) | $ 25.16 (8) | 02/08/2010 | A | 8,549 | (12) | 02/08/2020 | Common Stock | 8,549 | $ 0 (10) | 8,549 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rice Brian J ROYAL CARIBBEAN CRUISES LTD 1050 CARIBBEAN WAY MIAMI, FL 33132 |
EVP, Finance & CFO |
/s/ Richard Montes de Oca, Attorney-in-Fact for Brian J. Rice | 02/09/2010 | |
**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 2,111 shares underlying certain restricted stock units on 2/06/2010. |
(2) | Represents the average of the high and low prices for the issuer's common stock on the NYSE on 2/05/2010. |
(3) | The reporting person was granted restricted stock units under the Royal Caribbean Cruises Ltd. 2008 Equity Incentive Plan. |
(4) | Represents the maximum number of shares of common stock underlying the restricted stock units, which vest as follows: 7,080 on each of 2/08/2011, 2/08/2012 and 2/08/2013 and 7,079 on 2/08/2014. |
(5) | The restricted stock units were granted to the reporting person without payment thereof as compensation for serving as an executive officer of the issuer. |
(6) | The reporting person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein. |
(7) | The reporting person was granted the incentive stock option under the Royal Caribbean Cruises Ltd. 2008 Equity Incentive Plan. |
(8) | Represents the average of the high and low prices of the issuer's common stock on the NYSE on the date of the grant. |
(9) | The option is exercisable as follows: 2,980 on each of 2/08/2011, 2/08/2012, 2/08/2013 and 2/08/2014. |
(10) | The option was granted without payment thereof as compensation for serving as an executive officer of the issuer. |
(11) | The reporting person was granted the nonqualified stock option under the Royal Caribbean Cruises Ltd. 2008 Equity Incentive Plan. |
(12) | The option is exercisable as follows: 2,138 on 2/08/2011 and 2,137 on each of 2/08/2012, 2/08/2013 and 2/08/2014. |