SEC Form 4 · accession 0001571049-15-001339
Norwegian Cruise Line Holdings Ltd. · NCLH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel S Farkas
Officer — SVP Gen. Counsel & Asst. Sec.
Period of report
Feb 20, 2015
Accepted (ET)
Feb 23, 2015 · 5:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001513761
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 20, 2015 | M | 25,000 | $19.00 | A | 69,154 | D | |
| Common StockF1 | Feb 20, 2015 | S | 25,000 | $47.50 | D | 44,154 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $19.00 | Feb 20, 2015 | M | 25,000 | D | — | Jan 17, 2020 | Common Stock | 25,000 | 13,572 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.21 to $48.00, inclusive. The reporting person undertakes to provide to NCLH, any security holder of NCLH, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1).
- F217,199 of the total options were vested as of 01/18/2013; 679 of the total options vested on 09/04/2013; 1,706 of the total options vested on 09/15/2013; 679 of the total options vested on 09/04/2014; 1,706 of the total options vested on 09/15/2014; and 3,031 of the total options were vested based on performance conditions as of 03/18/2014.