UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option to Purchase Common Stock (2) | Â (3) | 03/17/2014 | Common Stock | 9,165 | $ 40.06 (4) | D | Â |
Option to Purchase Common Stock (5) | Â (3) | 02/10/2015 | Common Stock | 5,708 | $ 47.925 (4) | D | Â |
Option to Purchase Common Stock (5) | Â (3) | 02/06/2016 | Common Stock | 8,834 | $ 44.41 (4) | D | Â |
Option to Purchase Common Stock (5) | Â (3) | 02/01/2017 | Common Stock | 11,399 | $ 45.295 (4) | D | Â |
Option to Purchase Common Stock (5) | Â (3) | 02/11/2018 | Common Stock | 17,573 | $ 38.305 (4) | D | Â |
Option to Purchase Common Stock (5) | Â (3) | 09/03/2018 | Common Stock | 11,136 | $ 28.895 (4) | D | Â |
Option to Purchase Common Stock (6) | Â (7) | 02/10/2019 | Common Stock | 11,136 | $ 7.265 (4) | D | Â |
Option to Purchase Common Stock (6) | Â (8) | 02/08/2020 | Common Stock | 11,311 | $ 25.16 (4) | D | Â |
Option to Purchase Common Stock (6) | Â (9) | 02/08/2021 | Common Stock | 8,080 | $ 46.18 (4) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bauer Rudzki Lisa ROYAL CARIBBEAN CRUISES LTD. 1050 CARIBBEAN WAY MIAMI, FL 33132 |
 |  |  EVP, Global Sales&Mkting, RCI |  |
Carrie Levine Schwartz, Attorney-in-Fact for Lisa Bauer Rudzki | 10/04/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Includes shares of common stock underlying restricted stock units granted to the reporting person under the Royal Caribbean Cruises Ltd. 2008 Equity Incentive Plan, which vest as follows: 2,687 on 2/8/13; 1,657 on 2/15/2013; 2,685 on 2/8/14; 1,657 on 2/15/2014; 1,657 on 2/15/2014; 947 on 2/8/15; 1,657 on 2/15/2015 and 1,656 on 2/15/2016. |
(2) | The reporting person was granted the option under the Royal Caribbean Cruises Ltd. 1995 Incentive Stock Option Plan. |
(3) | Immediately. |
(4) | Represents the average of the high and low prices of the issuer's common stock on the NYSE on the date of the grant. |
(5) | The reporting person was granted the option under the Royal Caribbean Cruises Ltd. 2000 Stock Award Plan. |
(6) | The reporting person was granted the option under the Royal Caribbean Cruises Ltd. 2008 Equity Incentive Plan. |
(7) | The option is exercisable as follows: 5,568 shares are exercisable immediately and 5,568 shares are exercisable on 2/10/2013. |
(8) | The option is exercisable as follows: 3,771 shares are exercisable immediately and 3,770 shares are exercisable on each of 2/8/2013 and 2/8/2014. |
(9) | The option is exercisable as follows: 2,020 shares are exercisable immediately and 2,020 shares are exercisable on each of 2/8/2013, 2/8/2014 and 2/8/2015. |
 Remarks: EXHIBIT LIST: Exhibit 24: Limited Power of Attorney for Section 16 Reporting Obligations |