SEC Form 4 · accession 0001140361-15-029563
ROYAL CARIBBEAN CRUISES LTD · RCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Fain
Officer — Chairman & CEO · Director
Period of report
Aug 3, 2015
Accepted (ET)
Aug 3, 2015 · 6:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000884887
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 3, 2015 | S | 151,032 | $90.3792 | D | 988,581 | D | |
| Common StockF2,F3 | holding | — | — | — | 421,412 | I | See Footnotes | |
| Common StockF3,F4,F5 | holding | — | — | — | 5,500 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the weighted-average sale price per share of a series of transactions, all of which were executed on August 3, 2015. The actual sale prices ranged from a low of $90.05 to a high of $90.60. The Reporting Person undertakes to provide upon request of the SEC Staff, Royal Caribbean Cruises Ltd. or a Royal Caribbean Cruises Ltd. security holder full information regarding the number of shares sold at each price within the range.
- F2Shares owned by Monument Capital Corporation as nominee for various trusts primarily for the benefit of certain members of the Fain family.
- F3The reporting person disclaims beneficial ownership of some or all of these shares.
- F4Shares owned by The Montana Trust primarily for the benefit of certain members of the Fain family.
- F5This form does not include 121,300 shares owned by other trusts for the benefit of members of the Fain family in which Mr. Fain does not have any beneficial or pecuniary interest nor shares directly or indirectly owned by Mr. Fain's adult children.