SEC Form 4 · accession 0001571049-15-006761
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
Aug 13, 2015
Accepted (ET)
Aug 17, 2015 · 5:14 pm EDT
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 StockF1 | Aug 13, 2015 | A | 17,517 | $0.00 | A | 61,671 | 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 | Aug 13, 2015 | A | 12,856 | A | Aug 13, 2015 | Jan 17, 2020 | Common Stock | 12,856 | 26,429 | D |
Explanation of responses
- F1The ordinary shares reported above were subject to a performance vesting condition based on the level of capital invested in NCLH and its subsidiaries realized by investment funds affiliated with Apollo Global Management, LLC, which the independent members of NCLH's Compensation Committee determined on August 13, 2015 had been achieved.
- F2On January 18, 2013, the reporting person received stock options. The stock options reported above were subject to a performance vesting condition based on the level of capital invested in NCLH and its subsidiaries realized by investment funds affiliated with Apollo Global Management, LLC, which the independent members of NCLH's Compensation Committee determined on August 13, 2015 had been achieved.