SEC Form 4 · accession 0001571049-16-012598
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
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 4:30 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 StockF1,F2 | Mar 1, 2016 | A | 7,500 | $0.00 | A | 69,171 | 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)F3 | $50.31 | Mar 1, 2016 | A | 15,000 | A | — | Feb 28, 2026 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Each restricted share unit represents the contingent right to receive one share of Norwegian Cruise Line Holdings Ltd.'s ("NCLH") common stock upon vesting.
- F2Represents a grant of restricted share units under NCLH's 2013 Performance Incentive Plan. The restricted share units will vest in three equal installments on March 1, 2017, March 1, 2018 and March 1, 2019.
- F3The options vest in three equal installments on March 1, 2017, March 1, 2018 and March 1, 2019.