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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to Purchase Common Stock (4) | $ 45.295 (5) | 02/01/2007 | A | 2,257 | (6) | 02/01/2017 | Common Stock | 2,257 | $ 0 (7) | 2,257 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ARONSON BERNARD W ACON INVESTMENTS LLC, SUITE 700 1133 CONNECTICUT AVE., N.W. WASHINGTON, DC 20031 |
X |
/s/ Bradley H. Stein, Attorney-in-Fact for Bernard W. Aronson | 02/05/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reporting person was granted restricted stock units under the Royal Caribbean Cruises Ltd. 2000 Stock Award Plan. |
(2) | Represents the maximum number of shares of common stock underlying the restricted stock units, which vest as follows: 333 on each of 2/1/2008, 2/1/2009 and 2/1/2010, and 332 on 2/1/2011. |
(3) | The restricted stock units were granted to the reporting person without payment thereof as compensation for serving as a director of the issuer. |
(4) | The reporting person was granted the option under the Royal Caribbean Cruises Ltd. 2000 Stock Award Plan. |
(5) | Represents the average of the high and low prices of issuer's common stock on the NYSE on 2/1/2007. |
(6) | The option is exercisable as follows: 565 on 2/1/2008 and 564 on each of 2/1/2009, 2/1/2010 and 2/1/2011. |
(7) | The option was granted without payment thereof as compensation for serving as a director of the issuer. |