Initial Statement of Beneficial Ownership (3)
March 14 2018 - 4:34PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Kempa Mark
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2. Date of Event Requiring Statement (MM/DD/YYYY)
3/5/2018
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3. Issuer Name
and
Ticker or Trading Symbol
Norwegian Cruise Line Holdings Ltd. [NCLH]
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(Last)
(First)
(Middle)
7665 CORPORATE CENTER DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Interim CFO, SVP, Finance /
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(Street)
MIAMI, FL 33126
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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7003
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D
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Common Stock
(1)
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2500
(2)
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D
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Common Stock
(1)
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8334
(3)
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D
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Common Stock
(1)
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8826
(4)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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(5)
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1/17/2020
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Common Stock
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906
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$19.00
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D
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Stock Option (right to buy)
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(6)
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1/17/2020
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Common Stock
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4046
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$19.00
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D
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Stock Option (right to buy)
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(7)
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6/30/2023
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Common Stock
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10000
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$30.95
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D
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Stock Option (right to buy)
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(8)
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6/30/2024
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Common Stock
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15000
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$31.90
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D
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Stock Option (right to buy)
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(9)
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11/18/2024
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Common Stock
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15000
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$41.79
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D
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Stock Option (right to buy)
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(10)
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6/30/2025
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Common Stock
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30000
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$56.19
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D
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Stock Option (right to buy)
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(11)
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2/28/2026
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Common Stock
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15000
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$50.31
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D
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Explanation of Responses:
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(1)
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Each restricted share unit represents the contingent right to receive one share of Norwegian Cruise Line Holdings Ltd.'s ("NCLH") common stock upon vesting.
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(2)
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Represents unvested portion of a grant of restricted share units made on March 1, 2016 under NCLH's Amended and Restated 2013 Performance Incentive Plan (the "Plan"). The restricted share units will vest in one installment on March 1, 2019.
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(3)
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Represents unvested portion of a grant of restricted share units made on March 1, 2017 under the Plan. The restricted share units will vest in equal installments on March 1, 2019 and March 1, 2020.
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(4)
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Represents unvested portion of a grant of restricted share units made on March 1, 2018 under the Plan. The restricted share units will vest in equal installments on March 1, 2019, March 1, 2020 and March 1, 2021.
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(5)
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The options were subject to time and performance-based vesting requirements. All of the options were vested as of September 4, 2017.
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(6)
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The options vested over a period of five years. All of the options were vested as of January 18, 2018.
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(7)
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The options vested over a period of four years and all of the options were vested as of July 1, 2017.
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(8)
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3,750 of the options vested on each of July 1, 2015, July 1, 2016 and July 1, 2017. The remaining 3,750 options will vest on July 1, 2018.
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(9)
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3,750 of the options vested on each of November 19, 2015, November 19, 2016 and November 19, 2017. The remaining 3,750 options will vest on November 19, 2018.
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(10)
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10,000 of the options vested on each of July 1, 2016 and July 1, 2017. The remaining 10,000 options will vest on July 1, 2018.
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(11)
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5,000 of the options vested on March 1, 2017 and March 1, 2018. The remaining 5,000 options will vest on March 1, 2019.
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Remarks:
Exhibit List: Exhibit 24 - Power of Attorney
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kempa Mark
7665 CORPORATE CENTER DRIVE
MIAMI, FL 33126
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Interim CFO, SVP, Finance
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Signatures
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By: /s/ Daniel S. Farkas, attorney-in-fact for Mark Kempa
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3/14/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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