SEC Form 4 · accession 0001140361-18-004212
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
Jan 30, 2018
Accepted (ET)
Jan 31, 2018 · 5:31 pm EST
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 Stock | Jan 30, 2018 | M | 81,587 | $38.305 | A | 889,328 | D | |
| Common StockF1,F2 | holding | — | — | — | 210,706 | I | See Footnotes | |
| Common StockF2,F3,F4 | holding | — | — | — | 5,500 | I | See Footnotes |
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)F5 | $38.305 | Jan 30, 2018 | M | 81,587 | D | — | Feb 11, 2018 | Common Stock | 81,587 | 0 | D |
Explanation of responses
- F1Shares owned by Monument Capital Corporation as nominee for various trusts primarily for the benefit of certain members of the Fain family.
- F2The reporting person disclaims beneficial ownership of some or all of these shares.
- F3Shares owned by The Montana Trust primarily for the benefit of certain members of the Fain family.
- F4This form does not include 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.
- F5Immediately.