Form 5500 Department of the Treasury Internal Revenue Service Annual Return/Report of Employee Benefit Plan This form is required to be filed for employee benefit plans under sections 104 and 4065 of the Employee Retirement Income Security Act of 1974 (ERISA) and sections 6047(e), and 6058(a) of the Internal Revenue Code (the Code). Department of Labor Employee Benefits Security Administration This Form is Open to Public Inspection Annual Report Identification Information For calendar plan year 2009 or fiscal plan year beginning A B 2009 Complete all entries in accordance with the instructions to the Form 5500. Pension Benefit Guaranty Corporation Part I OMB Nos. 1210-0110 1210-0089 This return/report is for: This return/report is: and ending 01/01/2009 X X a multiemployer plan; X X the first return/report; a single-employer plan; an amended return/report; X X a multiple-employer plan; or X X the final return/report; a DFE (specify) 12/31/2009 _C_ a short plan year return/report (less than 12 months). C If the plan is a collectively-bargained plan, check here. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . D Check box if filing under: X X X Form 5558; X the DFVC program; ABCDEFGHI ABCDEFGHI ABCDE automatic extension; special extension (enter description) ABCDEFGHI Part II Basic Plan Information—enter all requested information 1a Name of plan ABCDEFGHI ABCDEFGHI CARIBBEAN CRUISE LINE, INC. ABCDEFGHI 401(K) PLAN ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 2a X 1b Three-digit plan 001 001 number (PN) 1c Effective date of plan 01/01/1999 YYYY-MM-DD 2b Plan sponsor’s name and address (employer, if for a single-employer plan) (Address should include room or suite no.) Employer Identification Number (EIN) 012345678 26-3290287 CARIBBEAN CRUISE LINE, INC. ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI D/B/A ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 2419 EAST COMMERCIAL BLVD. c/o ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI FT. LAUDERDALE, FL 33308 123456789 ABCDEFGHI ABCDEFGHI ABCDE 123456789 ABCDEFGHI ABCDEFGHI ABCDE CITYEFGHI ABCDEFGHI AB, ST 012345678901 UK 2c Sponsor’s telephone number 954-630-9449 0123456789 2d Business code (see instructions) 561500 012345 Caution: A penalty for the late or incomplete filing of this return/report will be assessed unless reasonable cause is established. Under penalties of perjury and other penalties set forth in the instructions, I declare that I have examined this return/report, including accompanying schedules, statements and attachments, as well as the electronic version of this return/report, and to the best of my knowledge and belief, it is true, correct, and complete. SIGN Filed with authorized/valid electronic signature. HERE Signature of plan administrator 03/04/2011 YYYY-MM-DD DANIEL LAMBERT ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Date Enter name of individual signing as plan administrator SIGN Filed with authorized/valid electronic signature. HERE Signature of employer/plan sponsor 03/04/2011 YYYY-MM-DD DANIEL LAMBERT ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Date Enter name of individual signing as employer or plan sponsor SIGN HERE YYYY-MM-DD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE Signature of DFE Date Enter name of individual signing as DFE For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. Form 5500 (2009) v.092307.1 Page 2 Form 5500 (2009) 3a Plan administrator’s name and address (if same as plan sponsor, enter “Same”) ABCDEFGHI ABCDEFGHI CARIBBEAN CRUISE LINE, INC.ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c/o ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 2419 EAST COMMERCIAL BLVD. 123456789 ABCDEFGHI FT. LAUDERDALE, FL 33308 ABCDEFGHI ABCDE 123456789 ABCDEFGHI ABCDEFGHI ABCDE CITYEFGHI ABCDEFGHI AB, ST 012345678901 UK 4 3b Administrator’s EIN 26-3290287 012345678 3c Administrator’s telephone number 954-630-9449 0123456789 If the name and/or EIN of the plan sponsor has changed since the last return/report filed for this plan, enter the name, EIN and the plan number from the last return/report: a Sponsor’s name PLAZA RESORTS, INC. ABCDEFGHI ABCDEFGHI 5 6 EIN 65-0855724 012345678 4c PN 001 5 012 278 123456789012 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI Total number of participants at the beginning of the plan year 4b Number of participants as of the end of the plan year (welfare plans complete only lines 6a, 6b, 6c, and 6d). a Active participants..................................................................................................................................................................... 6a 211 123456789012 b Retired or separated participants receiving benefits................................................................................................................. 6b 1234567890120 c Other retired or separated participants entitled to future benefits............................................................................................. 6c 52 123456789012 d Subtotal. Add lines 6a, 6b, and 6c........................................................................................................................................... 6d 263 123456789012 e Deceased participants whose beneficiaries are receiving or are entitled to receive benefits................................................... 6e 1234567890120 f Total. Add lines 6d and 6e....................................................................................................................................................... 6f 263 123456789012 g Number of participants with account balances as of the end of the plan year (only defined contribution plans complete this item).................................................................................................................................................................... 6g 111 123456789012 Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested.............................................................................................................................................................. Enter the total number of employers obligated to contribute to the plan (only multiemployer plans complete this item) ........ 6h 7 1234567890122 h 7 8a b If the plan provides pension benefits, enter the applicable pension feature codes from the List of Plan Characteristic Codes in the instructions: 1x 1x 1x 1x 1xx 1xx 1xx 2E1x 2G 1x 2J 2K 1x3D 3H If the plan provides welfare benefits, enter the applicable welfare feature codes from the List of Plan Characteristic Codes in the instructions: 1x 9a (3) (4) a 1x 1x 1x 1x 1x 1x 1xx Plan funding arrangement (check all that apply) (1) X Insurance (2) 10 1x X X X 1xx 9b Plan benefit arrangement (check all that apply) (1) X Insurance Code section 412(e)(3) insurance contracts (2) Trust (3) General assets of the sponsor (4) X X X Code section 412(e)(3) insurance contracts Trust General assets of the sponsor Check all applicable boxes in 10a and 10b to indicate which schedules are attached, and, where indicated, enter the number attached. (See instructions) Pension Schedules (1) X R (Retirement Plan Information) (2) (3) X X MB (Multiemployer Defined Benefit Plan and Certain Money Purchase Plan Actuarial Information) - signed by the plan actuary SB (Single-Employer Defined Benefit Plan Actuarial Information) - signed by the plan actuary b General Schedules (1) X H (Financial Information) (2) (3) (4) (5) (6) X X X X X I (Financial Information – Small Plan) 1 A (Insurance Information) ___ C (Service Provider Information) D (DFE/Participating Plan Information) G (Financial Transaction Schedules) SCHEDULE A Insurance Information OMB No. 1210-0110 (Form 5500) Department of the Treasury Internal Revenue Service This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA). Department of Labor Employee Benefits Security Administration File as an attachment to Form 5500. Pension Benefit Guaranty Corporation Insurance companies are required to provide the information 2009 pursuant to ERISA section 103(a)(2). For calendar plan year 2009 or fiscal plan year beginning 01/01/2009 and ending This Form is Open to Public Inspection 12/31/2009 A Name of plan B Three-digit 001 CARIBBEAN CRUISE LINE, INC.ABCDEFGHI 401(K) PLAN ABCDEFGHI ABCDEFGHI ABCDE ABCDEFGHI ABCDEFGHI 001 plan number (PN) FGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI D Employer Identification Number (EIN) C Plan sponsor’s name as shown on line 2a of Form 5500. CARIBBEAN CRUISE LINE, INC.ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE 26-3290287 ABCDEFGHI ABCDEFGHI 012345678 FGHI ABCDEFGHI Information Concerning Insurance Contract Coverage, Fees, and Commissions Provide information for each contract Part I on a separate Schedule A. Individual contracts grouped as a unit in Parts II and III can be reported on a single Schedule A. 1 Coverage Information: (a) Name of insurance carrier ABCDEFGHI ABCDEFGHI ABCDEFGHI JOHN HANCOCK LIFE INSURANCE COMPANY ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI (b) EIN 01-0233346 012345678 2 (c) NAIC code 65838 ABCDE (e) Approximate number of persons covered at end of policy or contract year (d) Contract or identification number 63065 ABCDE0123456789 1234567 106 Policy or contract year (f) From (g) To 01/01/2009 12/31/2009 YYYY-MM-DD YYYY-MM-DD Insurance fee and commission information. Enter the total fees and total commissions paid. List in item 3 the agents, brokers, and other persons in descending order of the amount paid. (a) Total amount of commissions paid (b) Total amount of fees paid 4065 123456789012345 3 1595 123456789012345 Persons receiving commissions and fees. (Complete as many entries as needed to report all persons). (a) Name and address of the agent, broker, or other person to whom commissions or fees were paid 2419 EAST COMMERICAL BLVD. ABCDEFGHI ABCDE SUITE 100 ABCDEFGHI ABCDE FT LAUDERDALE, FL 33308 ABCDEFGHI ABCDEFGHI MERRILL LYNCH LIFE AGY 123456789 ABCDEFGHI 123456789 ABCDEFGHI CITY56789 ABCDEFGHI ABCDEFGHI ABCDE AB, ST 021345678901 Fees and other commissions paid (b) Amount of sales and base commissions paid (c) Amount -123456789012345 4065 -123456789012345 (e) Organization code (d) Purpose ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE 31 (a) Name and address of the agent, broker, or other person to whom commissions or fees were paid ABCDEFGHI ABCDE 2110 SE RAYS WAY ST ABCDEFGHI ABCDE STUART, FL 34994 ABCDEFGHI ABCDEFGHI THE PENSION SOURCE, INC. 123456789 ABCDEFGHI 123456789 ABCDEFGHI CITY56789 ABCDEFGHI (b) Amount of sales and base commissions paid -123456789012345 ABCDEFGHI ABCDE AB, ST 021345678901 Fees and other commissions paid (c) Amount (e) Organization code (d) Purpose -123456789012345 1595 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. 51 Schedule A (Form 5500) 2009 v.092308.1 Page 2- 1 Schedule A (Form 5500) 2009 (a) Name and address of the agent, broker, or other person to whom commissions or fees were paid ABCDEFGHI 123456789 123456789 CITY56789 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE ABCDEFGHI ABCDE ABCDEFGHI ABCDE AB, ST 021345678901 Fees and other commissions paid (b) Amount of sales and base commissions paid (c) Amount -123456789012345 -123456789012345 (d) Purpose ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE (e) Organization code 1 (a) Name and address of the agent, broker, or other person to whom commissions or fees were paid ABCDEFGHI 123456789 123456789 CITY56789 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE ABCDEFGHI ABCDE ABCDEFGHI ABCDE AB, ST 021345678901 Fees and other commissions paid (b) Amount of sales and base commissions paid (c) Amount -123456789012345 -123456789012345 (d) Purpose ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE (e) Organization code 1 (a) Name and address of the agent, broker, or other person to whom commissions or fees were paid ABCDEFGHI 123456789 123456789 CITY56789 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE ABCDEFGHI ABCDE ABCDEFGHI ABCDE AB, ST 021345678901 Fees and other commissions paid (b) Amount of sales and base commissions paid (c) Amount -123456789012345 -123456789012345 (d) Purpose ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE (e) Organization code 1 (a) Name and address of the agent, broker, or other person to whom commissions or fees were paid ABCDEFGHI 123456789 123456789 CITY56789 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE ABCDEFGHI ABCDE ABCDEFGHI ABCDE AB, ST 021345678901 Fees and other commissions paid (b) Amount of sales and base commissions paid (c) Amount -123456789012345 -123456789012345 (d) Purpose ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE (e) Organization code 1 (a) Name and address of the agent, broker, or other person to whom commissions or fees were paid ABCDEFGHI 123456789 123456789 CITY56789 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE ABCDEFGHI ABCDE ABCDEFGHI ABCDE AB, ST 021345678901 Fees and other commissions paid (b) Amount of sales and base commissions paid (c) Amount -123456789012345 -123456789012345 (d) Purpose ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE (e) Organization code 1 Page 3 Schedule A (Form 5500) 2009 Investment and Annuity Contract Information Part II 4 5 6 Where individual contracts are provided, the entire group of such individual contracts with each carrier may be treated as a unit for purposes of this report. -123456789012345 21543 Current value of plan’s interest under this contract in the general account at year end .................................................... 4 813518 -123456789012345 Current value of plan’s interest under this contract in separate accounts at year end ...................................................... 5 Contracts With Allocated Funds: a State the basis of premium rates b c d e Premiums paid to carrier ........................................................................................................................................... Premiums due but unpaid at the end of the year ...................................................................................................... If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, enter amount....................................................................................................... Specify nature of costs (3) f 7 X Type of contract: (1) X other (specify) individual policies (2) X 6b 6c -123456789012345 -123456789012345 6d -123456789012345 group deferred annuity If contract purchased, in whole or in part, to distribute benefits from a terminating plan check here X Contracts With Unallocated Funds (Do not include portions of these contracts maintained in separate accounts) a Type of contract: (1) (3) b c X X deposit administration (2) guaranteed investment (4) X X immediate participation guarantee other 7b 2974 -123456789012345 -1234567890123450 764 -123456789012345 -1234567890123450 6064 -123456789012345 Balance at the end of the previous year ................................................................................................................... Additions: (1) Contributions deposited during the year ................................... (2) Dividends and credits ................................................................................. (3) Interest credited during the year ................................................................. (4) Transferred from separate account ............................................................ (5) Other (specify below).................................................................................. 7c(1) 7c(2) 7c(3) 7c(4) 7c(5) 29887 -123456789012345 LOAN REPAYMENTS d e (6)Total additions ...................................................................................................................................................... Total of balance and additions (add b and c(6)). ....................................................................................................... 9802 -123456789012345 39689 -123456789012345 Deductions: (1) Disbursed from fund to pay benefits or purchase annuities during year (2) Administration charge made by carrier........................................................ (3) Transferred to separate account ................................................................. (4) Other (specify below)................................................................................... PART LOAN/CASH AS UNVESTED MONEY f 7c(6) 7d 7e(1) 7e(2) 7e(3) 7e(4) 10753 -123456789012345 744 -123456789012345 -1234567890123450 6649 -123456789012345 (5) Total deductions ................................................................................................................................................... Balance at the end of the current year (subtract e(5) from d) ................................................................................... 7e(5) 7f 18146 -123456789012345 21543 -123456789012345 Page 4 Schedule A (Form 5500) 2009 Part III Welfare Benefit Contract Information If more than one contract covers the same group of employees of the same employer(s) or members of the same employee organization(s), the information may be combined for reporting purposes if such contracts are experience-rated as a unit. Where contracts cover individual employees, the entire group of such individual contracts with each carrier may be treated as a unit for purposes of this report. 8 9 Benefit and contract type (check all applicable boxes) a X e X i X Health (other than dental or vision) mX Other (specify) Temporary disability (accident and sickness) bX f X j X cX gX kX Dental Long-term disability Vision Supplemental unemployment dX hX Life insurance Prescription drug l X Indemnity contract ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCKEFGHI ABCDEFGHI ABCDEFGHI ABCDE Stop loss (large deductible) HMO contract PPO contract Experience-rated contracts: a Premiums: (1) Amount received..................................................................... -123456789012345 9a(1) b -123456789012345 (2) Increase (decrease) in amount due but unpaid ....................................... 9a(2) -123456789012345 (3) Increase (decrease) in unearned premium reserve................................. 9a(3) (4) Earned ((1) + (2) - (3)) ...................................................................................................................................... 9a(4) -123456789012345 Benefit charges (1) Claims paid ................................................................... 9b(1) c -123456789012345 (2) Increase (decrease) in claim reserves..................................................... 9b(2) (3) Incurred claims (add (1) and (2)) ...................................................................................................................... 9b(3) (4) Claims charged................................................................................................................................................. 9b(4) -123456789012345 Remainder of premium: (1) Retention charges (on an accrual basis) --123456789012345 (A) Commissions .................................................................................... 9c(1)(A) -123456789012345 (B) Administrative service or other fees ................................................. 9c(1)(B) 9c(1)(C) -123456789012345 (C) Other specific acquisition costs ........................................................ 9c(1)(D) -123456789012345 (D) Other expenses ................................................................................ 9c(1)(E) -123456789012345 (E) Taxes................................................................................................ 9c(1)(F) -123456789012345 (F) Charges for risks or other contingencies .......................................... 9c(1)(G) -123456789012345 (G) Other retention charges ................................................................... (H) Total retention ........................................................................................................................................... 9c(1)(H) 123456789012345 123456789012345 9c(2) 9d(1) 9d(2) 9d(3) 9e -123456789012345 -123456789012345 -123456789012345 -123456789012345 -123456789012345 -123456789012345 Total premiums or subscription charges paid to carrier ........................................................................................ 10a -123456789012345 If the carrier, service, or other organization incurred any specific costs in connection with the acquisition or retention of the contract or policy, other than reported in Part I, item 2 above, report amount. ............................ Specify nature of costs 10b -123456789012345 (2) Dividends or retroactive rate refunds. (These amounts were 10 -123456789012345 X paid in cash, or X credited.) ..................... d Status of policyholder reserves at end of year: (1) Amount held to provide benefits after retirement................... e (2) Claim reserves ................................................................................................................................................. (3) Other reserves ................................................................................................................................................. Dividends or retroactive rate refunds due. (Do not include amount entered in c(2).) .......................................... Nonexperience-rated contracts: a b Provision of Information Part IV X Yes X No 11 Did the insurance company fail to provide any information necessary to complete Schedule A? ............. 12 If the answer to line 11 is “Yes,” specify the information not provided. ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE SCHEDULE C OMB No. 1210-0110 Service Provider Information (Form 5500) Department of the Treasury Internal Revenue Service This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA). Department of Labor Employee Benefits Security Administration File as an attachment to Form 5500. Pension Benefit Guaranty Corporation For calendar plan year 2009 or fiscal plan year beginning 01/01/2009 and ending 2009 This Form is Open to Public Inspection. 12/31/2009 A Name of plan CARIBBEAN CRUISE LINE, INC. 401(K) PLAN ABCDEFGHI B Three-digit C Plan sponsor’s name as shown on line 2a of Form 5500 ABCDEFGHI CARIBBEAN CRUISE LINE, INC. D Employer Identification Number (EIN) 012345678 26-3290287 Part I plan number (PN) 001 001 Service Provider Information (see instructions) You must complete this Part, in accordance with the instructions, to report the information required for each person who received, directly or indirectly, $5,000 or more in total compensation (i.e., money or anything else of monetary value) in connection with services rendered to the plan or the person's position with the plan during the plan year. If a person received only eligible indirect compensation for which the plan received the required disclosures, you are required to answer line 1 but are not required to include that person when completing the remainder of this Part. 1 Information on Persons Receiving Only Eligible Indirect Compensation a Check "Yes" or "No" to indicate whether you are excluding a person from the remainder of this Part because they received only eligible indirect compensation for which the plan received the required disclosures (see instructions for definitions and conditions).. . . . . . . . . . . . . . . X Yes X No b If you answered line 1a “Yes,” enter the name and EIN or address of each person providing the required disclosures for the service providers who received only eligible indirect compensation. Complete as many entries as needed (see instructions). (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosure on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500 Schedule C (Form 5500) 2009 v.092308.1 Schedule C (Form 5500) 2009 Page 2- 1 (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation (b) Enter name and EIN or address of person who provided you disclosures on eligible indirect compensation Page 3 Schedule C (Form 5500) 2009 2. Information on Other Service Providers Receiving Direct or Indirect Compensation. Except for those persons for whom you answered “yes” to line 1a above, complete as many entries as needed to list each person receiving, directly or indirectly, $5,000 or more in total compensation (i.e., money or anything else of value) in connection with services rendered to the plan or their position with the plan during the plan year. (See instructions). (a) Enter name and EIN or address (see instructions) THE PENSION SOURCE, INC 2110 SE RAYS WAY STUART, FL 34994 65-0420375 (b) Service Code(s) 64 (c) (d) TPA ABCDEFGHI ABCDEFGHI ABCD (f) (e) Enter direct Relationship to Did service provider employer, employee compensation paid receive indirect organization, or by the plan. If none, compensation? (sources person known to be other than plan or plan enter -0-. a party-in-interest sponsor) 123456789012 9039 345 Did indirect compensation include eligible indirect compensation, for which the plan received the required disclosures? (g) (h) Enter total indirect Did the service compensation received by provider give you a service provider excluding formula instead of eligible indirect an amount or compensation for which you estimated amount? answered “Yes” to element (f). If none, enter -0-. 1234567890123450 Yes X No X Yes X No X Yes X No X (a) Enter name and EIN or address (see instructions) (b) Service Code(s) (c) (d) ABCDEFGHI ABCDEFGHI ABCD (f) (e) Enter direct Relationship to Did service provider employer, employee compensation paid receive indirect organization, or by the plan. If none, compensation? (sources person known to be other than plan or plan enter -0-. a party-in-interest sponsor) 123456789012 345 Did indirect compensation include eligible indirect compensation, for which the plan received the required disclosures? (g) (h) Enter total indirect Did the service compensation received by provider give you a service provider excluding formula instead of eligible indirect an amount or compensation for which you estimated amount? answered “Yes” to element (f). If none, enter -0-. 123456789012345 Yes X No X Yes X No X Yes X No X (a) Enter name and EIN or address (see instructions) (b) Service Code(s) (c) (d) ABCDEFGHI ABCDEFGHI ABCD 123456789012 345 (f) (e) Enter direct Relationship to Did service provider employer, employee compensation paid receive indirect organization, or by the plan. If none, compensation? (sources person known to be other than plan or plan enter -0-. a party-in-interest sponsor) Yes X No X Did indirect compensation include eligible indirect compensation, for which the plan received the required disclosures? Yes X No X (g) (h) Enter total indirect Did the service compensation received by provider give you a service provider excluding formula instead of eligible indirect an amount or compensation for which you estimated amount? answered “Yes” to element (f). If none, enter -0-. Yes X No X Page 4- 1 Schedule C (Form 5500) 2009 (a) Enter name and EIN or address (see instructions) (b) Service Code(s) (c) (e) (d) Did service provider Enter direct Relationship to receive indirect employer, employee compensation paid organization, or by the plan. If none, compensation? (sources enter -0-. person known to be other than plan or plan a party-in-interest sponsor) ABCDEFGHI ABCDEFGHI ABCD 123456789012 345 Yes X No X (f) Did indirect compensation include eligible indirect compensation, for which the plan received the required disclosures? Yes (h) (g) Did the service Enter total indirect compensation received by provider give you a service provider excluding formula instead of an amount or eligible indirect compensation for which you estimated amount? answered “Yes” to element (f). If none, enter -0-. X No X Yes X No X (a) Enter name and EIN or address (see instructions) (b) Service Code(s) (c) (e) (d) Did service provider Enter direct Relationship to receive indirect employer, employee compensation paid organization, or by the plan. If none, compensation? (sources enter -0-. person known to be other than plan or plan a party-in-interest sponsor) ABCDEFGHI ABCDEFGHI ABCD 123456789012 345 Yes X No X (f) Did indirect compensation include eligible indirect compensation, for which the plan received the required disclosures? Yes (h) (g) Did the service Enter total indirect compensation received by provider give you a service provider excluding formula instead of an amount or eligible indirect compensation for which you estimated amount? answered “Yes” to element (f). If none, enter -0-. X No X Yes X No X (a) Enter name and EIN or address (see instructions) (b) Service Code(s) (c) (e) (d) Did service provider Relationship to Enter direct receive indirect employer, employee compensation paid organization, or by the plan. If none, compensation? (sources enter -0-. other than plan or plan person known to be sponsor) a party-in-interest ABCDEFGHI ABCDEFGHI ABCD 123456789012 345 Yes X No X (f) Did indirect compensation include eligible indirect compensation, for which the plan received the required disclosures? Yes X No X (h) (g) Did the service Enter total indirect compensation received by provider give you a service provider excluding formula instead of an amount or eligible indirect compensation for which you estimated amount? answered “Yes” to element (f). If none, enter -0-. Yes X No X Schedule C (Form 5500) 2009 Page 5- 1 Part I Service Provider Information (continued) 3 If you reported on line 2 receipt of indirect compensation, other than eligible indirect compensation, by a service provider, and the service provider is a fiduciary or provides contract administrator, consulting, custodial, investment advisory, investment management, broker, or recordkeeping services, answer the following questions for (a) each source from whom the service provider received $1,000 or more in indirect compensation and (b) each source for whom the service provider gave you a formula used to determine the indirect compensation instead of an amount or estimated amount of the indirect compensation. Complete as many entries as needed to report the required information for each source. (a) Enter service provider name as it appears on line 2 (b) Service Codes (see instructions) (d) Enter name and EIN (address) of source of indirect compensation (a) Enter service provider name as it appears on line 2 (a) Enter service provider name as it appears on line 2 (b) Service Codes (c) Enter amount of indirect compensation (e) Describe the indirect compensation, including any formula used to determine the service provider’s eligibility for or the amount of the indirect compensation. (b) Service Codes (see instructions) (d) Enter name and EIN (address) of source of indirect compensation compensation (e) Describe the indirect compensation, including any formula used to determine the service provider’s eligibility for or the amount of the indirect compensation. (see instructions) (d) Enter name and EIN (address) of source of indirect compensation (c) Enter amount of indirect (c) Enter amount of indirect compensation (e) Describe the indirect compensation, including any formula used to determine the service provider’s eligibility for or the amount of the indirect compensation. Page 6- 1 Schedule C (Form 5500) 2009 Part II Service Providers Who Fail or Refuse to Provide Information 4 Provide, to the extent possible, the following information for each service provider who failed or refused to provide the information necessary to complete this Schedule. (a) Enter name and EIN or address of service provider (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1234567890 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCD ABCD ABCD ABCD instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCD ABCD ABCD ABCD instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCD ABCD ABCD ABCD instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCD ABCD ABCD ABCD instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCD ABCD ABCD ABCD instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 10 11 12 13 (b) Nature of ABCDE ABCDE ABCDE ABCDE ABCDE ABCDE provide ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE ABCDE ABCDE ABCDE ABCDE ABCDE (c) Describe the information that the service provider failed or refused to provide 10 11 12 13 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI (b) Nature of (c) Describe the information that the service provider failed or refused to ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE ABCDE ABCDE ABCDE ABCDE ABCDE provide 10 11 12 13 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI (b) Nature of (c) Describe the information that the service provider failed or refused to ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDE ABCDE ABCDE ABCDE ABCDE ABCDE provide 10 11 12 13 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI (b) Nature of (c) Describe the information that the service provider failed or refused to Service Code(s) ABCD ABCD ABCD ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI (c) Describe the information that the service provider failed or refused to Service Code(s) (a) Enter name and EIN or address of service provider (see ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1234567890 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI Service Code(s) (a) Enter name and EIN or address of service provider (see ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1234567890 (b) Nature of ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI Service Code(s) (a) Enter name and EIN or address of service provider (see ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1234567890 10 11 12 13 provide Service Code(s) (a) Enter name and EIN or address of service provider (see ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1234567890 (c) Describe the information that the service provider failed or refused to Service Code(s) (a) Enter name and EIN or address of service provider (see ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 1234567890 (b) Nature of ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI provide ABCDE ABCDE ABCDE ABCDE ABCDE ABCDE Page 7- 1 Schedule C (Form 5500) 2009 Part III Termination Information on Accountants and Enrolled Actuaries (see instructions) (complete as many entries as needed) a c d Name: Position: Address: Explanation: a c d Name: Position: Address: Explanation: a c d Name: Position: Address: Explanation: a c d Name: Position: Address: Explanation: a c d Name: Position: Address: Explanation: ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD b EIN: 123456789 ABCD 1234567890 e Telephone: ABCD ABCD ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b EIN: 123456789 ABCD 1234567890 e Telephone: ABCD ABCD ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b EIN: 123456789 ABCD 1234567890 e Telephone: ABCD ABCD ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b EIN; 123456789 ABCD 1234567890 e Telephone: ABCD ABCD ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b EIN; 123456789 ABCD 1234567890 e Telephone: ABCD ABCD ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI SCHEDULE D DFE/Participating Plan Information OMB No. 1210-0110 (Form 5500) This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA). Department of the Treasury Internal Revenue Service 2009 File as an attachment to Form 5500. Department of Labor Employee Benefits Security Administration For calendar plan year 2009 or fiscal plan year beginning 01/01/2009 and ending This Form is Open to Public Inspection. 12/31/2009 A Name of plan B Three-digit CARIBBEAN CRUISE LINE, INC. ABCDEFGHI 401(K) PLAN 001 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 001 plan number (PN) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI D Employer Identification Number (EIN) C Plan or DFE sponsor’s name as shown on line 2a of Form 5500 CARIBBEAN CRUISE LINE, INC. ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 012345678 26-3290287 ABCDEFGHI Part I Information on interests in MTIAs, CCTs, PSAs, and 103-12 IEs (to be completed by plans and DFEs) (Complete as many entries as needed to report all interests in DFEs) a Name of MTIA, CCT, PSA, or 103-12 IE: LIFESTYLE CONSERVATIVE ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): ABCDEFGHI Entity d e Dollar value of interest in MTIA, CCT, PSA, or P 24459 c EIN-PN 01-0233346-000 123456789-123 1 -123456789012345 code 103-12 IE at end of year (see instructions) a b MODERATE Name of MTIA, CCT, PSA, or 103-12 IE: LIFESTYLE ABCDEFGHI Name of sponsor of entity listed in (a): d JOHN HANCOCK USA ABCDEFGHI Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c EIN-PN 01-0233346-000 a BALANCED Name of MTIA, CCT, PSA, or 103-12 IE: LIFESTYLE ABCDEFGHI 123456789-123 ABCDEFGHI JOHN HANCOCK USA b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 a GROWTH Name of MTIA, CCT, PSA, or 103-12 IE: LIFESTYLE ABCDEFGHI b d 123456789-123 Name of sponsor of entity listed in (a): d Entity code 69771 -123456789012345 ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c EIN-PN 01-0233346-000 a AGGRESSIVE Name of MTIA, CCT, PSA, or 103-12 IE: LIFESTYLE ABCDEFGHI ABCDEFGHI a PRICE SPECTRUM INC Name of MTIA, CCT, PSA, or 103-12 IE: T ROWE ABCDEFGHI ABCDEFGHI 123456789-123 28424 -123456789012345 ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) JOHN HANCOCK USA ABCDEFGHI Entity code ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 57813 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): ABCDEFGHI d Entity e Dollar value of interest in MTIA, CCT, PSA, or P 45964 c EIN-PN 01-0233346-000 123456789-123 1 -123456789012345 code 103-12 IE at end of year (see instructions) JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 a GLB HIGH YIELD Name of MTIA, CCT, PSA, or 103-12 IE: LM PARTNERS ABCDEFGHI ABCDEFGHI b c d 123456789-123 Name of sponsor of entity listed in (a): EIN-PN 01-0233346-000 123456789-123 d Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) JOHN HANCOCK USA ABCDEFGHI Entity code 8612 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. 90801 -123456789012345 Schedule D (Form 5500) 2009 v.092308.1 Page 2- 1 Schedule D (Form 5500) 2009 a b RETURN ABCDEFGHI Name of MTIA, CCT, PSA, or 103-12 IE: PIMCO TOTAL ABCDEFGHI Name of sponsor of entity listed in (a): d JOHN HANCOCK USA ABCDEFGHI Entity code ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c EIN-PN 01-0233346-000 a FEDERALABCDEFGHI Name of MTIA, CCT, PSA, or 103-12 IE: SHORT-TERM ABCDEFGHI 123456789-123 JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 a BALANCED FUND Name of MTIA, CCT, PSA, or 103-12 IE: AMERICAN ABCDEFGHI ABCDEFGHI b d 123456789-123 Name of sponsor of entity listed in (a): d Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) ABCDEFGHI JOHN HANCOCK USA Entity code 13472 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c EIN-PN 01-0233346-000 a Name of MTIA, CCT, PSA, or 103-12 IE: MUTAL BEACON ABCDEFGHI a YORK VENTURE Name of MTIA, CCT, PSA, or 103-12 IE: DAVIS NEW ABCDEFGHI ABCDEFGHI 123456789-123 56470 -123456789012345 16077 -123456789012345 ABCDEFGHI ABCDEFGHI ABCD JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): ABCDEFGHI d Entity e Dollar value of interest in MTIA, CCT, PSA, or P 10519 c EIN-PN 01-0233346-000 123456789-123 1 -123456789012345 code 103-12 IE at end of year (see instructions) ABCDEFGHI JOHN HANCOCK USA ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 a GLOBAL DISCOVERY Name of MTIA, CCT, PSA, or 103-12 IE: MUTUALABCDEFGHI ABCDEFGHI b d 123456789-123 Name of sponsor of entity listed in (a): d Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) JOHN HANCOCK USA ABCDEFGHI Entity code EIN-PN 01-0233346-000 a GROWTH Name of MTIA, CCT, PSA, or 103-12 IE: JENNISON ABCDEFGHI 123456789-123 JOHN HANCOCK USA ABCDEFGHI b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 a WORLD Name of MTIA, CCT, PSA, or 103-12 IE: TEMPLETON ABCDEFGHI b d 123456789-123 Name of sponsor of entity listed in (a): d Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) EIN-PN 01-0233346-000 a EQUITYABCDEFGHI Name of MTIA, CCT, PSA, or 103-12 IE: DOMINI SOCIAL ABCDEFGHI b Name of sponsor of entity listed in (a): d JOHN HANCOCK USA ABCDEFGHI Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) EIN-PN 01-0233346-000 a BALANCE SHEET Name of MTIA, CCT, PSA, or 103-12 IE: FRANKLIN ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 123456789-123 d JOHN HANCOCK USA ABCDEFGHI Entity code 27410 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c 123456789-123 35293 -123456789012345 ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c 123456789-123 10273 -123456789012345 ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) JOHN HANCOCK USA ABCDEFGHI Entity code ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c 50189 -123456789012345 4135 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) 19814 -123456789012345 Page 2- 2 Schedule D (Form 5500) 2009 a b GROWTHABCDEFGHI FUND Name of MTIA, CCT, PSA, or 103-12 IE: EUROPACIFIC ABCDEFGHI Name of sponsor of entity listed in (a): d JOHN HANCOCK USA ABCDEFGHI Entity code ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c EIN-PN 01-0233346-000 a CENTURY VISTA Name of MTIA, CCT, PSA, or 103-12 IE: AMERICAN ABCDEFGHI ABCDEFGHI 123456789-123 JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 a GROWTH INDEX Name of MTIA, CCT, PSA, or 103-12 IE: SMALL CAP ABCDEFGHI ABCDEFGHI b d 123456789-123 Name of sponsor of entity listed in (a): d Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) ABCDEFGHI JOHN HANCOCK USA Entity code EIN-PN 01-0233346-000 a FUND Name of MTIA, CCT, PSA, or 103-12 IE: MONEY MARKET ABCDEFGHI a FUND Name of MTIA, CCT, PSA, or 103-12 IE: 500 INDEX ABCDEFGHI 123456789-123 1893 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c 8143 -123456789012345 7769 -123456789012345 ABCDEFGHI ABCDEFGHI ABCD JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): ABCDEFGHI d Entity e Dollar value of interest in MTIA, CCT, PSA, or P 62191 c EIN-PN 01-0233346-000 123456789-123 1 -123456789012345 code 103-12 IE at end of year (see instructions) ABCDEFGHI JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 a VALUE FUND Name of MTIA, CCT, PSA, or 103-12 IE: OPTIMIZED ABCDEFGHI ABCDEFGHI b d 123456789-123 Name of sponsor of entity listed in (a): d Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) JOHN HANCOCK USA ABCDEFGHI Entity code ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c EIN-PN 01-0233346-000 a GROWTH FUND Name of MTIA, CCT, PSA, or 103-12 IE: BLUE CHIP ABCDEFGHI ABCDEFGHI 123456789-123 JOHN HANCOCK USA ABCDEFGHI Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 a ALL CAP FUND Name of MTIA, CCT, PSA, or 103-12 IE: OPTIMIZED ABCDEFGHI ABCDEFGHI b d Name of sponsor of entity listed in (a): d Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) JOHN HANCOCK USA ABCDEFGHI Entity code ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) EIN-PN 01-0233346-000 a GROWTH FUND Name of MTIA, CCT, PSA, or 103-12 IE: ALL CAPABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): d JOHN HANCOCK USA ABCDEFGHI Entity code EIN-PN 01-0233346-000 a STOCK FUND Name of MTIA, CCT, PSA, or 103-12 IE: MID CAPABCDEFGHI 123456789-123 b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 123456789-123 d JOHN HANCOCK USA ABCDEFGHI Entity code 2651 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c 38600 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c 123456789-123 1386 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b 123456789-123 14632 -123456789012345 2903 -123456789012345 ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) 19 -123456789012345 Page 2- 3 Schedule D (Form 5500) 2009 a b VALUEABCDEFGHI FUND Name of MTIA, CCT, PSA, or 103-12 IE: INTERNATIONAL ABCDEFGHI JOHN HANCOCK USA ABCDEFGHI Name of sponsor of entity listed in (a): d Entity code ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c EIN-PN 01-0233346-000 a PRICE SCI & TECH Name of MTIA, CCT, PSA, or 103-12 IE: T ROWEABCDEFGHI ABCDEFGHI 123456789-123 JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): c EIN-PN 01-0233346-000 a DEVELOPING MKT Name of MTIA, CCT, PSA, or 103-12 IE: OPPENHEIMER ABCDEFGHI ABCDEFGHI b d 123456789-123 Entity code Name of sponsor of entity listed in (a): d ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) ABCDEFGHI JOHN HANCOCK USA Entity code 20438 -123456789012345 ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or P 1 103-12 IE at end of year (see instructions) c EIN-PN 01-0233346-000 a CAP GROWTH Name of MTIA, CCT, PSA, or 103-12 IE: AIM SMALL ABCDEFGHI ABCDEFGHI a Name of MTIA, CCT, PSA, or 103-12 IE: b Name of sponsor of entity listed in (a): c EIN-PN a Name of MTIA, CCT, PSA, or 103-12 IE: b Name of sponsor of entity listed in (a): c EIN-PN a Name of MTIA, CCT, PSA, or 103-12 IE: b Name of sponsor of entity listed in (a): c EIN-PN a Name of MTIA, CCT, PSA, or 103-12 IE: b Name of sponsor of entity listed in (a): c EIN-PN a Name of MTIA, CCT, PSA, or 103-12 IE: b Name of sponsor of entity listed in (a): c EIN-PN a Name of MTIA, CCT, PSA, or 103-12 IE: b Name of sponsor of entity listed in (a): c EIN-PN 123456789-123 11417 -123456789012345 76318 -123456789012345 ABCDEFGHI ABCD JOHN HANCOCK USA ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI b Name of sponsor of entity listed in (a): ABCDEFGHI d Entity e Dollar value of interest in MTIA, CCT, PSA, or P 10 c EIN-PN 01-0233346-000 123456789-123 1 -123456789012345 code 103-12 IE at end of year (see instructions) d 123456789-123 d 123456789-123 d 123456789-123 d 123456789-123 d 123456789-123 d 123456789-123 Entity code Entity code Entity code Entity code Entity code Entity code ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCD ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI e Dollar value of interest in MTIA, CCT, PSA, or 1 -123456789012345 103-12 IE at end of year (see instructions) Schedule D (Form 5500) 2009 Page 3- 1 6 Part II Information on Participating Plans (to be completed by DFEs) (Complete as many entries as needed to report all participating plans) a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor a Plan name b Name of plan sponsor ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI c EIN-PN ABCDEFGHI 123456789-123 SCHEDULE H OMB No. 1210-0110 Financial Information (Form 5500) Department of the Treasury Internal Revenue Service Department of Labor Employee Benefits Security Administration This schedule is required to be filed under section 104 of the Employee Retirement Income Security Act of 1974 (ERISA), and section 6058(a) of the Internal Revenue Code (the Code). File as an attachment to Form 5500. Pension Benefit Guaranty Corporation For calendar plan year 2009 or fiscal plan year beginning 01/01/2009 A Name of plan CARIBBEAN CRUISE LINE, INC. ABCDEFGHI 401(K) PLAN ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI and ending B ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI C Plan sponsor’s name as shown on line 2a of Form 5500 ABCDEFGHI ABCDEFGHI CARIBBEAN CRUISE LINE, INC. ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI D 2009 This Form is Open to Public Inspection 12/31/2009 Three-digit plan number (PN) 001 001 Employer Identification Number (EIN) 012345678 26-3290287 Part I Asset and Liability Statement 1 Current value of plan assets and liabilities at the beginning and end of the plan year. Combine the value of plan assets held in more than one trust. Report the value of the plan’s interest in a commingled fund containing the assets of more than one plan on a line-by-line basis unless the value is reportable on lines 1c(9) through 1c(14). Do not enter the value of that portion of an insurance contract which guarantees, during this plan year, to pay a specific dollar benefit at a future date. Round off amounts to the nearest dollar. MTIAs, CCTs, PSAs, and 103-12 IEs do not complete lines 1b(1), 1b(2), 1c(8), 1g, 1h, and 1i. CCTs, PSAs, and 103-12 IEs also do not complete lines 1d and 1e. See instructions. Assets a b c (a) Beginning of Year (b) End of Year 1a 7274 -123456789012345 6447 -123456789012345 (1) Employer contributions ........................................................................... 1b(1) (2) Participant contributions ......................................................................... 1b(2) (3) Other....................................................................................................... 1b(3) -1234567890123450 -1234567890123450 -1234567890123450 0 -123456789012345 0 -123456789012345 0 -123456789012345 -1234567890123450 -1234567890123450 0 -123456789012345 0 -123456789012345 -1234567890123450 -1234567890123450 0 -123456789012345 0 -123456789012345 0 -123456789012345 0 -123456789012345 0 -123456789012345 0 -123456789012345 -123456789012345 0 100354 -123456789012345 0 -123456789012345 817866 -123456789012345 0 -123456789012345 0 -123456789012345 Total noninterest-bearing cash ....................................................................... Receivables (less allowance for doubtful accounts): General investments: (1) Interest-bearing cash (include money market accounts & certificates of deposit) ............................................................................................. (2) U.S. Government securities.................................................................... 1c(1) 1c(2) (3) Corporate debt instruments (other than employer securities): (A) Preferred .......................................................................................... 1c(3)(A) (B) All other............................................................................................ 1c(3)(B) (4) Corporate stocks (other than employer securities): (A) Preferred .......................................................................................... 1c(4)(A) (B) Common .......................................................................................... 1c(4)(B) (5) Partnership/joint venture interests .......................................................... 1c(5) (6) Real estate (other than employer real property) ..................................... 1c(6) (7) Loans (other than to participants) ........................................................... 1c(7) (8) Participant loans ..................................................................................... 1c(8) (9) Value of interest in common/collective trusts.......................................... 1c(9) (10) Value of interest in pooled separate accounts ........................................ 1c(10) (11) Value of interest in master trust investment accounts ............................ 1c(11) (12) Value of interest in 103-12 investment entities ....................................... (13) Value of interest in registered investment companies (e.g., mutual funds)...................................................................................... (14) Value of funds held in insurance company general account (unallocated contracts)................................................................................................ 1c(12) -1234567890123450 -1234567890123450 -1234567890123450 -1234567890123450 -1234567890123450 110417 -123456789012345 -1234567890123450 646893 -123456789012345 -1234567890123450 -1234567890123450 1c(13) -1234567890123450 -123456789012345 0 1c(14) -123456789012345 29887 -123456789012345 21543 1c(15) -1234567890123450 0 -123456789012345 (15) Other ....................................................................................................... For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500 Schedule H (Form 5500) 2009 v.092308.1 Page 2 Schedule H (Form 5500) 2009 1d 1e 1f Employer-related investments: (a) Beginning of Year (1) Employer securities .................................................................................... 1d(1) (2) Employer real property ............................................................................... 1d(2) Buildings and other property used in plan operation......................................... 1e Total assets (add all amounts in lines 1a through 1e) ...................................... 1f (b) End of Year 0 -123456789012345 0 -123456789012345 0 -123456789012345 -123456789012345 794471 -1234567890123450 -1234567890123450 -1234567890123450 -123456789012345 946210 -1234567890123450 -1234567890123450 -1234567890123450 -123456789012345 42321 42321 -123456789012345 -123456789012345 903889 Liabilities 1g 1h 1i 1j 1k Benefit claims payable ...................................................................................... 1g Operating payables ........................................................................................... 1h Acquisition indebtedness .................................................................................. 1i Other liabilities................................................................................................... 1j Total liabilities (add all amounts in lines 1g through1j) ..................................... 1k 0 -123456789012345 -123456789012345 0 0 -123456789012345 -123456789012345 9000 9000 -123456789012345 1l -123456789012345 785471 Net Assets 1l Net assets (subtract line 1k from line 1f)........................................................... Part II Income and Expense Statement 2 Plan income, expenses, and changes in net assets for the year. Include all income and expenses of the plan, including any trust(s) or separately maintained fund(s) and any payments/receipts to/from insurance carriers. Round off amounts to the nearest dollar. MTIAs, CCTs, PSAs, and 103-12 IEs do not complete lines 2a, 2b(1)(E), 2e, 2f, and 2g. Income a b (a) Amount (b) Total Contributions: (1) Received or receivable in cash from: (A) Employers.................................. 2a(1)(A) (B) Participants ......................................................................................... 2a(1)(B) (C) Others (including rollovers)................................................................. 2a(1)(C) (2) Noncash contributions ................................................................................ 2a(2) (3) Total contributions. Add lines 2a(1)(A), (B), (C), and line 2a(2) ................. 2a(3) 0 -123456789012345 76561 -123456789012345 0 -123456789012345 0 -123456789012345 76561 -123456789012345 Earnings on investments: (1) Interest: (A) Interest-bearing cash (including money market accounts and certificates of deposit)......................................................................... 2b(1)(A) -123456789012345 0 (B) U.S. Government securities ................................................................ 2b(1)(B) (C) Corporate debt instruments ................................................................ 2b(1)(C) (D) Loans (other than to participants) ....................................................... 2b(1)(D) (E) Participant loans ................................................................................. 2b(1)(E) 0 -123456789012345 0 -123456789012345 0 -123456789012345 5385 -123456789012345 764 -123456789012345 (F) Other ................................................................................................... 2b(1)(F) (G) Total interest. Add lines 2b(1)(A) through (F) ..................................... 2b(1)(G) 6149 -123456789012345 (2) Dividends: (A) Preferred stock.................................................................... 2b(2)(A) (B) Common stock .................................................................................... 2b(2)(B) 0 -123456789012345 0 -123456789012345 (C) Registered investment company shares (e.g. mutual funds).............. 2b(2)(C) 0 (D) Total dividends. Add lines 2b(2)(A), (B), and (C) 2b(2)(D) (3) Rents........................................................................................................... -1234567890123450 -1234567890123450 2b(3) (4) Net gain (loss) on sale of assets: (A) Aggregate proceeds ....................... 2b(4)(A) (B) Aggregate carrying amount (see instructions) .................................... 2b(4)(B) (C) Subtract line 2b(4)(B) from line 2b(4)(A) and enter result .................. 2b(4)(C) 0 -123456789012345 -123456789012345 0 -1234567890123450 Page 3 Schedule H (Form 5500) 2009 (a) Amount 2b (5) Unrealized appreciation (depreciation) of assets: (A) Real estate......................... 2b(5)(A) (B) Other ................................................................................................... (C) Total unrealized appreciation of assets. Add lines 2b(5)(A) and (B).................................................................. 2b(5)(B) 2b(5)(C) -1234567890123450 2b(6) (7) Net investment gain (loss) from pooled separate accounts ........................ 2b(7) (8) Net investment gain (loss) from master trust investment accounts ............ 2b(8) (9) Net investment gain (loss) from 103-12 investment entities ....................... (10) Net investment gain (loss) from registered investment companies (e.g., mutual funds)................................................................... 2b(9) -1234567890123450 -1234567890123450 176735 -123456789012345 -1234567890123450 2b(10) -1234567890123450 Other income..................................................................................................... 2c Total income. Add all income amounts in column (b) and enter total...................... 2d -1234567890123450 259445 -123456789012345 (6) Net investment gain (loss) from common/collective trusts .......................... c d (b) Total -1234567890123450 -1234567890123450 Expenses e f g h i j Benefit payment and payments to provide benefits: (1) Directly to participants or beneficiaries, including direct rollovers .............. 2e(1) (2) To insurance carriers for the provision of benefits ...................................... 2e(2) (3) Other ........................................................................................................... 2e(3) (4) Total benefit payments. Add lines 2e(1) through (3)................................... 2e(4) 117146 -123456789012345 -1234567890123450 -1234567890123450 117146 -123456789012345 -1234567890123450 -1234567890123450 -1234567890123450 Corrective distributions (see instructions) ......................................................... 2f Certain deemed distributions of participant loans (see instructions)................. 2g Interest expense................................................................................................ 2h Administrative expenses: (1) Professional fees ............................................... 2i(1) (2) Contract administrator fees......................................................................... 2i(2) (3) Investment advisory and management fees ............................................... 2i(3) (4) Other ........................................................................................................... 2i(4) (5) Total administrative expenses. Add lines 2i(1) through (4)......................... 2i(5) Total expenses. Add all expense amounts in column (b) and enter total......... 2j 23881 -123456789012345 141027 -123456789012345 2k 118418 -123456789012345 (1) To this plan.................................................................................................. 2l(1) (2) From this plan ............................................................................................. 2l(2) -1234567890123450 -1234567890123450 -1234567890123450 1595 -123456789012345 22286 -123456789012345 -1234567890123450 Net Income and Reconciliation k l Net income (loss). Subtract line 2j from line 2d............................................................. Transfers of assets: Part III Accountant’s Opinion 3 Complete lines 3a through 3c if the opinion of an independent qualified public accountant is attached to this Form 5500. Complete line 3d if an opinion is not attached. a The attached opinion of an independent qualified public accountant for this plan is (see instructions): (1) X Unqualified (2) X Qualified X Disclaimer (3) X (4) X Adverse X Yes b Did the accountant perform a limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)? c Enter the name and EIN of the accountant (or accounting firm) below: 42-0714325 LLP (1) Name: MCGLADREY ABCDEFGHI& PULLEN ABCDEFGHI ABCDEFGHI ABCD (2) EIN: 123456789 d The opinion of an independent qualified public accountant is not attached because: (2) X It will be attached to the next Form 5500 pursuant to 29 CFR 2520.104-50. (1) X This form is filed for a CCT, PSA, or MTIA. X No Page 4- 1 Schedule H (Form 5500) 2009 Part IV Compliance Questions 4 CCTs and PSAs do not complete Part IV. MTIAs, 103-12 IEs, and GIAs do not complete 4a, 4e, 4f, 4g, 4h, 4k, 4m, 4n, or 5. 103-12 IEs also do not complete 4j and 4l. MTIAs also do not complete 4l. During the plan year: a b c d e f g h i j k l m n 5a 5b Yes No Amount Was there a failure to transmit to the plan any participant contributions within the time period described in 29 CFR 2510.3-102? Continue to answer “Yes” for any prior year failures until fully corrected. (See instructions and DOL’s Voluntary Fiduciary Correction Program.) ...... 4a Were any loans by the plan or fixed income obligations due the plan in default as of the close of the plan year or classified during the year as uncollectible? Disregard participant loans secured by participant’s account balance. (Attach Schedule G (Form 5500) Part I if “Yes” is checked.)...................................................................................................................................... 4b Were any leases to which the plan was a party in default or classified during the year as uncollectible? (Attach Schedule G (Form 5500) Part II if “Yes” is checked.) .............................. 4c Were there any nonexempt transactions with any party-in-interest? (Do not include transactions reported on line 4a. Attach Schedule G (Form 5500) Part III if “Yes” is checked.)...................................................................................................................................... 4d Was this plan covered by a fidelity bond?.................................................................................... 4e Did the plan have a loss, whether or not reimbursed by the plan’s fidelity bond, that was caused by fraud or dishonesty? ............................................................................................................... 4f X -123456789012345 Did the plan hold any assets whose current value was neither readily determinable on an established market nor set by an independent third party appraiser? ......................................... 4g X -123456789012345 4h X -123456789012345 Did the plan receive any noncash contributions whose value was neither readily determinable on an established market nor set by an independent third party appraiser? ......... Did the plan have assets held for investment? (Attach schedule(s) of assets if “Yes” is checked, and see instructions for format requirements.)............................................................................. 4i Were any plan transactions or series of transactions in excess of 5% of the current value of plan assets? (Attach schedule of transactions if “Yes” is checked, and see instructions for format requirements.).................................................................................... 4j Were all the plan assets either distributed to participants or beneficiaries, transferred to another plan, or brought under the control of the PBGC?......................................................................... 4k Has the plan failed to provide any benefit when due under the plan? ......................................... 4l If this is an individual account plan, was there a blackout period? (See instructions and 29 CFR 2520.101-3.)................................................................................................................................. 4m If 4m was answered “Yes,” check the “Yes” box if you either provided the required notice or one of the exceptions to providing the notice applied under 29 CFR 2520.101-3. ............................. 4n Has a resolution to terminate the plan been adopted during the plan year or any prior plan year? If yes, enter the amount of any plan assets that reverted to the employer this year ............................. X X 13333 -123456789012345 X -123456789012345 X -123456789012345 X -123456789012345 X 100000 -123456789012345 X Yes X No X X X -123456789012345 X Amount: -123456789012345 If, during this plan year, any assets or liabilities were transferred from this plan to another plan(s), identify the plan(s) to which assets or liabilities were transferred. (See instructions.) 5b(1) Name of plan(s) ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI 5b(2) EIN(s) 5b(3) PN(s) ABCDEFGHI ABCDEFGHI 123456789 123 ABCDEFGHI ABCDEFGHI 123456789 123 ABCDEFGHI ABCDEFGHI 123456789 123 ABCDEFGHI ABCDEFGHI 123456789 123 SCHEDULE R OMB No. 1210-0110 Retirement Plan Information (Form 5500) Department of the Treasury Internal Revenue Service Department of Labor Employee Benefits Security Administration Pension Benefit Guaranty Corporation This Form is Open to Public Inspection. File as an attachment to Form 5500. For calendar plan year 2009 or fiscal plan year beginning 01/01/2009 12/31/2009 and ending A Name of plan CARIBBEAN CRUISE LINE, INC. 401(K) PLAN ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI C Plan sponsor’s name as shown on line 2a of Form 5500 CARIBBEAN CRUISE LINE, INC. ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI ABCDEFGHI Part I 2009 This schedule is required to be filed under section 104 and 4065 of the Employee Retirement Income Security Act of 1974 (ERISA) and section 6058(a) of the Internal Revenue Code (the Code). B D Three-digit plan number (PN) 001 001 Employer Identification Number (EIN) 012345678 26-3290287 Distributions All references to distributions relate only to payments of benefits during the plan year. 1 2 Total value of distributions paid in property other than in cash or the forms of property specified in the instructions.............................................................................................................................................................. 0 -123456789012345 1 Enter the EIN(s) of payor(s) who paid benefits on behalf of the plan to participants or beneficiaries during the year (if more than two, enter EINs of the two payors who paid the greatest dollar amounts of benefits): EIN(s): 01-0233346 _______________________________ _______________________________ Profit-sharing plans, ESOPs, and stock bonus plans, skip line 3. 3 Number of participants (living or deceased) whose benefits were distributed in a single sum, during the plan year. .......................................................................................................................................................................... Part II 4 12345678 3 Funding Information (If the plan is not subject to the minimum funding requirements of section of 412 of the Internal Revenue Code or ERISA section 302, skip this Part) X Is the plan administrator making an election under Code section 412(d)(2) or ERISA section 302(d)(2)?......................... X Yes No X N/A If the plan is a defined benefit plan, go to line 8. 5 If a waiver of the minimum funding standard for a prior year is being amortized in this plan year, see instructions and enter the date of the ruling letter granting the waiver. Date: Month _________ Day _________ Year _________ If you completed line 5, complete lines 3, 9, and 10 of Schedule MB and do not complete the remainder of this schedule. 6 a b Enter the minimum required contribution for this plan year ................................................................................ 6a Enter the amount contributed by the employer to the plan for this plan year ..................................................... 6b -123456789012345 -123456789012345 c Subtract the amount in line 6b from the amount in line 6a. Enter the result (enter a minus sign to the left of a negative amount).......................................................................................... 6c -123456789012345 If you completed line 6c, skip lines 8 and 9. 7 Will the minimum funding amount reported on line 6c be met by the funding deadline? ...................................... X Yes X No X N/A 8 If a change in actuarial cost method was made for this plan year pursuant to a revenue procedure providing automatic approval for the change or a class ruling letter, does the plan sponsor or plan administrator agree with the change?.................................................................................................................................................... X Yes X No X N/A Part III 9 Amendments If this is a defined benefit pension plan, were any amendments adopted during this plan year that increased or decreased the value of benefits? If yes, check the appropriate box(es). If no, check the “No” box...................................................................................... Part IV X Increase X Decrease X No ESOPs (see instructions). If this is not a plan described under Section 409(a) or 4975(e)(7) of the Internal Revenue Code, skip this Part. 10 Were unallocated employer securities or proceeds from the sale of unallocated securities used to repay any exempt loan?.............. 11 a Does the ESOP hold any preferred stock? .................................................................................................................................... b If the ESOP has an outstanding exempt loan with the employer as lender, is such loan part of a “back-to-back” loan? (See instructions for definition of “back-to-back” loan.) .................................................................................................................. 12 X Both Does the ESOP hold any stock that is not readily tradable on an established securities market? ........................................................ For Paperwork Reduction Act Notice and OMB Control Numbers, see the instructions for Form 5500. X X Yes X X No Yes X Yes X No X Yes X No No Schedule R (Form 5500) 2009 v.092308.1 Page 2- 1 Schedule R (Form 5500) 2009 Part V Additional Information for Multiemployer Defined Benefit Pension Plans 13 Enter the following information for each employer that contributed more than 5% of total contributions to the plan during the plan year (measured in dollars). See instructions. Complete as many entries as needed to report all applicable employers. Name of contributing employer a b EIN d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete items 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ X Weekly X Unit of production X Other (specify): (2) Base unit measure: X Hourly a b d e a b d c Dollar amount contributed by employer Name of contributing employer EIN c Dollar amount contributed by employer Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete items 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ X Weekly X Unit of production X Other (specify): (2) Base unit measure: X Hourly Name of contributing employer EIN c Dollar amount contributed by employer Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete items 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ X Weekly X Unit of production X Other (specify): (2) Base unit measure: X Hourly a b d Name of contributing employer e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete items 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ X Weekly X Unit of production X Other (specify): (2) Base unit measure: X Hourly a b Name of contributing employer d Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete items 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ (2) Base unit measure: X Hourly X Weekly X Unit of production X Other (specify): a b d Name of contributing employer e Contribution rate information (If more than one rate applies, check this box X and see instructions regarding required attachment. Otherwise, complete items 13e(1) and 13e(2).) (1) Contribution rate (in dollars and cents) _____________ X Weekly X Unit of production X Other (specify): (2) Base unit measure: X Hourly EIN c Dollar amount contributed by employer Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ EIN EIN c c Dollar amount contributed by employer Dollar amount contributed by employer Date collective bargaining agreement expires (If employer contributes under more than one collective bargaining agreement, check box X and see instructions regarding required attachment. Otherwise, enter the applicable date.) Month _______ Day _______ Year _______ Page 3 Schedule R (Form 5500) 2009 14 Enter the number of participants on whose behalf no contributions were made by an employer as an employer of the participant for: a b c 15 The second preceding plan year .......................................................................................................................... 123456789012345 123456789012345 123456789012345 15a 15b 123456789012345 123456789012345 Enter the number of employers who withdrew during the preceding plan year ................................................. 16a 123456789012345 If item 16a is greater than 0, enter the aggregate amount of withdrawal liability assessed or estimated to be assessed against such withdrawn employers ...................................................................................................... 16b The corresponding number for the plan year immediately preceding the current plan year ................................ The corresponding number for the second preceding plan year .......................................................................... Information with respect to any employers who withdrew from the plan during the preceding plan year: a b 17 The plan year immediately preceding the current plan year................................................................................. 14a 14b 14c Enter the ratio of the number of participants under the plan on whose behalf no employer had an obligation to make an employer contribution during the current plan year to: a b 16 The current year ................................................................................................................................................... 123456789012345 If assets and liabilities from another plan have been transferred to or merged with this plan during the plan year, check box and see instructions regarding supplemental information to be included as an attachment. ....................................................................................................................... X Part VI Additional Information for Single-Employer and Multiemployer Defined Benefit Pension Plans 18 If any liabilities to participants or their beneficiaries under the plan as of the end of the plan year consist (in whole or in part) of liabilities to such participants and beneficiaries under two or more pension plans as of immediately before such plan year, check box and see instructions regarding supplemental information to be included as an attachment ............................................................................................................................................................................ X 19 If the total number of participants is 1,000 or more, complete items (a) through (c) a Enter the percentage of plan assets held as: Stock: _____% Investment-Grade Debt: _____% b Provide the average duration of the combined investment-grade and high-yield debt: X 0-3 years X 3-6 years X 6-9 years X 9-12 years X 12-15 years X 15-18 years c High-Yield Debt: _____% What duration measure was used to calculate item 19(b)? X Macaulay duration X Modified duration X Effective duration Real Estate: _____% Other: _____% X Other (specify): X 18-21 years X 21 years or more McGladrey Independent Auditor?s Report To the Board of Trustees and Participants Caribbean Cruise Line, Inc. 401 Plan Fort Lauderdale, Florida We were engaged to audit the accompanying statements of net assets available for bene?ts of Caribbean Cruise Line, Inc. 401(k) Plan (the ?Plan?) as of December 31, 2009 and 2008. and the related statement of changes in net assets available for bene?ts for the year ended December 31. 2009. and the supplemental schedules of assets held and delinquent participant contributions as of and for the year ended December 31, 2009. These ?nancial statements and supplemental schedules are the responsibility of the Plan's management. As permitted by 29 CFR 2520.103-8 of the United States Department of Labors Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974, the Plan Administrator instructed us not to perform, and we did not perform, any auditing procedures with respect to certain information summarized in Note 3, which was certi?ed or provided by John Hancock Life Insurance Company USA, the custodian of the Plan, except for comparing the information with the related information included in the financial statements and supplemental schedules. We have been informed by the Plan Administrator that the custodian holds the Plan's investment assets and executes investment transactions. As discussed in Note 3, the Plan Administrator has obtained certi?cations from the custodian regarding the completeness and accuracy of the investment information provided to the Plan Administrator by the custodian as of and for the year ended December 31, 2009, and as of December 31, 2008. Because of the signi?cance of the information that we did not audit, we are unable to, and do not, express an opinion on the accompanying ?nancial statements and supplemental schedules taken as a whole. The form and content of the information included in the ?nancial statements and supplemental schedules, other than that derived from the information certi?ed or provided by the custodian, have been audited by us in accordance with auditing standards generally accepted in the United States of America and, in our opinion, are presented in compliance with the United States Department of Labors Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. ?aw/?aa?g West Palm Beach, Florida August 10, 2010 McGladrey Is the brand under which RSM McGladrey, inc. and McGladrey Puiien, LLP serve cIlents' business needs. Member of RSM International network, a network of The two firms operating as separate legal entities in an alternative practice structure. independent accounting. tax and consulting ?rms 1 Caribbean Cruise Line, Inc. 401(k) Plan Form 5500 Schedule H, Item 4(a) - Schedule of Delinquent Participant Contributions Year Ended December 31, 2009 Participant contributions transferred late to Plan Total that constitute prohibited nonexempt transactions Contributions Contributions Total fully corrected Check here if late participant Contributions corrected outside pending correction under VFCP and PTE loan repayments are included not corrected VFCP in VFCP 2002-51 13,333 3 - - 13,333 - 14 Caribbean Cruise Line, Inc. 401(k) Plan Schedule H, Item 40) - Schedule of Assets (Held at End of Year) December 31, 2009 Fair Identity of Issuer and Description of Investment Value *Guaranteed investment accounts with John Hancock Life Insurance Company USA. 21,543 Pooled Separate Accounts of John Hancock Life Insurance Company U.S.A.: *Lifestyle Fund - Conservative Portfolio 24,459 *Lifestyle Fund Moderate Portfolio 28,424 *Lifestyle Fund Balanced Portfolio 69,771 "Lifestyle Fund - Growth Portfolio 57,813 *Lifestyle Fund - Aggressive Portfolio 45,964 *Short-Tenn Federal Fund 13,472 Total Return Fund 56,470 Rowe Price Spectrum Income Fund 8,612 *Legg Mason Partners Global High Yield Bond Fund 90,801 *American Balanced fund 16,077 *Davis New York Venture 50,189 *Mutual Beacon Fund 10,519 *Franklin Balance Sheet Investment Fund 19,814 *Mutual Global Discovery Fund 10,273 *Domini Social Equity Fund 4,135 *Blue Chip Growth Fund 38,600 *Jennison Growth Fund 35,293 ?Templeton World Fund 27,410 *EuroPaci?c Growth Fund 8,143 *American Century Vista Fund 1,893 *Small Cap Growth Index Fund 7,769 Small Cap Growth Fund 10 *Oppenheimer Developing Markets Fund 76,318 Rowe Price Science Technology Fund 20,438 *Money Market Fund 62,191 *Optimized Value Fund 1,386 *500 Index Fund 14,632 *Optimized AII Cap Fund 2,651 *International Value Fund 11,417 *All Cap Growth Fund 2,903 *Mid-Cap Stock Fund 19 *Participant loans interest ranging from 3.25% to 10%, due through May 2014 100,354 *Party-in-interest as de?ned by ERISA. 13 Caribbean Cruise Line, Inc. 401(k) Plan Statements of Net Assets Available for Benefits December 31, 2009 and 2008 2009 2008 Assets: Investments (Notes 3 and 4): Guaranteed investment accounts. at fair value 21,543 29,887 Pooled separate accounts, at fair value 817,866 646,893 Participant loans receivable 100,354 110,417 Total investments 939,763 787,197 Cash 6,447 7,274 Total assets 946,210 794,471 Liabilities: Accrued expenses 17,895 9,000 Excess contributions payable 24,426 - Total liabilities 42,321 9,000 Net assets available for benefits 903,889 785,471 See Notes to Financial Statements. Caribbean Cruise Line, Inc. 401(k) Plan Statement of Changes in Net Assets Available for Benefits Year Ended December 31, 2009 Contributions: Employee contributions 76,561 Total contributions 76,561 investment results (Note 3): Net appreciation in fair value of investments 176,735 Interest 6,149 Total investment income 182,884 Deductions: Bene?ts paid directly to participants 117,146 Administrative expenses (Note 8) 23,881 Total deductions 141,027 Net increase 118,418 Net assets available for bene?ts: Beginning of year 785,471 End of year 8 ?5,889 See Notes to Financial Statements. Caribbean Cruise Line, Inc. 401(k) Plan Notes to Financial Statements Note 1. Description of Plan The following description of the Caribbean Cruise Line. Inc. 401 Plan (the ?Plan?), formerly Plaza Resorts, Inc. 401 Plan, provides only general information. Participants should refer to the Plan agreement for a more complete description of the Plan?s provisions: General: The Plan is a de?ned contribution plan covering all regular and leased employees of Caribbean Cruise Line, Inc., Plaza Resorts, Inc., Aruba Development Corporation and VCS, Inc, (collectively the ?Companies?) who have completed one year of service. Effective January 1, 2009, the Plan was amended to name Caribbean Cnrise Line, Inc. as Plan Sponsor and, accordingly, the Plan was renamed Caribbean Cruise Line, Inc. 401 Plan. Eligible employees may enter the Plan on the ?rst day of the Plan year or on the ?rst day of the quarter coinciding with or following satisfactorily meeting eligibility criteria. The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974 Contributions: Each year, participants may contribute up to 90% of pretax annual compensation, as de?ned in the Plan, subject to maximum dollar limitations established by the Internal Revenue Service. Participants who have attained age 50 before the end of the Plan year are eligible to make catch-up contributions. Participants may also contribute amounts representing distributions from other quali?ed de?ned bene?t or contribution plans. The Companies may make a matching contribution equal to a discretionary percentage of participants' contributions for those participants who have completed one year of service. For the year ended December 31, 2009, the Companies made no matching contributions. Participant accounts: Each participant?s account is credited with the participant's contribution and allocations of the Companies? contributions. forfeitures, if any, and Plan earnings, and charged with allocations of investment custodian fees paid by the Plan and Plan losses. Allocations are based on participant compensation and deferrals or account balances, as defined. The bene?t to which a participant is entitled is the bene?t that can be provided from the participant?s vested account. Vesting: Participants are immediately vested in their contributions plus actual earnings thereon. Vesting in the Companies matching contribution portion of their accounts is based on years of continuous service. A participant is 20% vested after one year and is 100% vested after ?ve years of credited service. Regardless of years of service, participants are 100% vested upon becoming disabled or upon death. Upon termination of employment the nonvested portion of a participant?s account is forfeited. Forfeitures: Amounts forfeited are either applied as a reduction of the Companies? match, reallocated to participants or used to defray the administrative expenses of the Plan. A participant must be employed on the last day of the Plan year to be eligible to receive an allocation of forfeited account balances. As of December 31. 2009 and 2008 there were $6,447 and $7,274, respectively, of unapplied forfeitures. Forfeitures in the amount of $870 were allocated to participants to restore account balances due to a break in service. Investment options: Upon enrollment in the Plan, participants direct the investment of their contributions into various pooled separate accounts or guaranteed investment accounts offered by the Plan. Participants may change their investment options daily via the Internet or phone. Caribbean Cruise Line, Inc. 401(k) Plan Notes to Financial Statements Note 1. Description of Trust (Continued) Participant loans: Participants may borrow from their accounts. Loan amounts may be a minimum of $1,000 up to a maximum equal to the lesser of $50,000 or 50% of their vested account balance. whichever is less. The loans are secured by the balance in the participant?s account, and bear ?xed interest rates that range from 3.25% to 10.0%, which were commensurate with local prevailing rates at the date of each loan, as determined by the Plan Administrator. Principal and interest is paid ratably through payroll deductions. Loan terms range from 1-5 years or up to 15 years for the purchase of a primary residence. Payment of bene?ts: On termination of service due to death. disability, or retirement, a participant may elect to receive either a lump?sum amount equal to the value of the participant?s vested interest in his or her account or annual installments over a ?xed period. For termination of service for other reasons, a participant may elect to receive the value of the vested interest in his or her account as a lump-sum distribution. Administrative expenses: Plan administrative expenses are paid either by the Plan or the Plan's Sponsor as provided by the Plan document. Note 2. Summary of Signi?cant Accounting Policies Basis of accounting: The ?nancial statements of the Plan are prepared under the accrual method of accounting. Investment contracts held by a de?ned-contribution plan are required to be reported at fair value. However, contract value is the relevant measurement attribute for that portion of the net assets available for bene?ts of a de?ned- contribution plan attributable to fully bene?t-responsive investment contracts because contract value is the amount participants would receive if they were to initiate permitted transactions under the terms of the Plan. The guaranteed investment accounts are not fully bene?t-responsive and are reported at fair value as determined by the insurance company (see Note 5). Use of estimates: The preparation of ?nancial statements in conformity with generally accepted accounting principles requires management to make estimates and assumptions that affect certain reported amounts of assets and liabilities and changes therein, and disclosure of contingent assets and liabilities. Actual results may differ from those estimates. Investment valuation and income reccqnition: The Plan?s investments are stated at fair value. Fair value is the price that would be received to sell an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. See Note 4 for discussion of fair value measurements. Purchases and sales of securities are recorded on a trade-date basis. Interest income is recorded as earned on an accrual basis. Net appreciation or depreciation includes the plan?s gains and losses on investments bought and sold as well as held during the year. Payment of bene?ts: Bene?ts are recorded when paid. Recent accounting pronouncements: The Financial Accounting Standards Board issued new guidance on accounting for uncertainty in income taxes. The Plan adopted this new guidance for the year ended December 31, 2009. The Plan Administrator had evaluated the Plan's tax positions and concluded that the Plan had maintained its tax exempt status and had taken no uncertain tax positions that require adjustment to the ?nancial statements. Therefore, no provision or liability for income taxes has been included in the ?nancial statements. 5 Caribbean Cruise Line, Inc. 401(k) Plan Notes to Financial Statements Note 2. Summary of Significant Accounting Policies (Continued) In April 2009, the FASB issued additional guidance on the disclosure requirements of fair value measurements including de?ning major categories of debt and equity securities. The Plan adopted the enhanced disclosure requirements of this standard as of December 31, 2009. In September 2009, the FASB issued an amendment that provides guidance on how entities should estimate fair value of certain alternative investments. The fair value of investments within the scope of this guidance can now be determined using net asset value per share as a practical expedient, when the fair value is not readily determinable, unless it is probable the investment will be sold at something other than NAV. It also requires disclosure of certain attributes by major category of alternative investments, regardless of whether the practical expedient was used. The Plan adopted this guidance as of December 31, 2009. The adoption of this guidance did not have a material impact on the Plan's ?nancial statements. In January 2010, the FASB issued ASU No. 2010-6, Fair Value Measurements and Disclosures Improving Disclosures About Fair Value Measurements, which requires new disclosures and reasons for transfers between Level 1 and Level 2 measurements under the fair value hierarchy. This amendment also clari?es that disclosures about inputs and valuation techniques are required for both Level 2 and Level 3 measurements. With the exception of the following sentences, the amendment is effective and not yet adopted for periods beginning on or after December 15, 2009. The amendment further clari?es that the reconciliation of Level 3 measurements should separately present purchases, sales, issuances and settlements instead of netting these changes. This portion of the amendment is effective for periods beginning on or after December 15, 2010 and has not yet been adopted. Subseguent events: The Plan Administrator has evaluated subsequent events through August 10, 2010, the date the ?nancial statements were available to be issued. Caribbean Cruise Line, Inc. 401(k) Plan Notes to Financial Statements Note 3. Investment Information Certified and Provided by Custodian The following is a summary of the investment information as of December 31, 2009 and 2008, and for the year ended December 31, 2009, included throughout the Plan?s ?nancial statements and supplemental schedules, that was prepared by or derived from information provided by John Hancock Life Insurance Company (?John Hancock?), the custodian under the Plan, and furnished to the Plan Administrator. The Plan Administrator has obtained certi?cations from the custodian that information provided to the Plan Administrator by the custodian related to the following investments and investment activity is complete and accurate to the best of their knowledge. Accordingly, as permitted by 29 CFR 2520.103-8 of the Rules and Regulations for Reporting and Disclosure under ERISA, the Plan Administrator instructed the Plan?s independent auditors not to perform any auditing procedures with respect to this information, except for comparing such certi?ed information to information included in the Plan's ?nancial statements and supplemental schedules. The following table presents the fair value of investments held by the Plan as of December 31, 2009 and 2008 that were certi?ed by John Hancock. Investments that represent 5% or more of the Plan's net assets at either December 31, 2009 or 2008 are separately identi?ed: 2009 2008 Guaranteed investment accounts of John Hancock 21,543 29,887 Pooled separate accounts of John Hancock: Lifestyle Fund - Balanced Portfolio 69,771 53,811 Lifestyle Fund Growth Portfolio? 57,813 38,178 Money Market Fund 62,191 146,340 Legg Mason Partners Global High Yield Bond Fund* 90,801 185 PIMCO Total Return Fund* 56,470 33,052 Davis New York Venture? 50,189 35,539 Oppenheimer Developing Markets Fund* 76,318 24,372 Short-Term Federal Fund* 13,472 96,343 Other 340,841 219,073 Participant loans receivable 100,354 110,417 939,763 787,197 Amounts represent less than 5% of net assets at December 31, 2009 or 2008, but are included for comparative purposes. John Hancock has also certi?ed to the completeness and accuracy of $176,735 of net appreciation in fair value of pooled separate accounts and $6,149 of interest income related to the aforementioned investments for the year ended December 31, 2009. Caribbean Cruise Line, Inc. 401(k) Plan Notes to Financial Statements Note 4. Fair Value Measurements Financial Accounting Standards Board Accounting Standards Codi?cation 820, Fair Value Measurements and Disclosures, provides the framework for measuring fair value. That framework provides a fair value hierarchy that prioritizes the inputs to valuation techniques used to measure fair value. The hierarchy gives the highest priority to unadjusted quoted prices in active markets for identical assets or liabilities (Level 1 measurements) and the lowest priority to unobservable inputs (Level 3 measurements). The three levels of the fair value hierarchy under FASB A80 820 are described below: 0 Level 1 - Inputs to the valuation methodology are unadjusted quoted prices for identical assets or liabilities in active markets that the Plan has the ability to access. 0 Level 2 - Inputs to the valuation methodology include: - Quoted prices for similar assets or liabilities in active markets; - Quoted prices for identical or similar assets or liabilities in inactive markets; - Inputs other than quoted prices that are observable for the asset or liability; - Inputs that are derived principally from or corroborated by observable market data by correlation or other means. If the asset or liability has a speci?ed (contractual) term, the level 2 input must be observable for substantially the full term of the asset or liability. 0 Level 3 - Inputs to the valuation methodology are unobservable and signi?cant to the fair value measurement. The asset or liability's fair value measurement level within the fair value hierarchy is based on the lowest level of any input that is signi?cant to the fair value measurement. Valuation techniques used need to maximize the use of observable inputs and minimize the use of unobservable inputs. Following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used at December 31, 2009 and 2008. The Plan's investments in insurance company pooled separate accounts are calculated based on the observable net asset value of the underlying investments. The investments in the guaranteed investment accounts are reported at fair value by discounting the related cash ?ows based on current yields of similar instruments with comparable durations considering the credit-worthiness of the issuer. Participant loans receivable are valued at amortized cost, which approximates fair value. The methods described above may produce a fair value calculation that may not be indicative of net realizable value or re?ective of future fair values. Furthermore, while the Plan believes it valuation methods are appropriate and consistent with other market participants, the use of different methodologies or assumptions to determine the fair value of certain ?nancial instruments could result in a different fair value measurement at the reporting date. Caribbean Cruise Line, lnc. 401(k) Plan Notes to Financial Statements Note 4. Fair Value Measurements (Continued) The following tables set forth by level and major category, within the fair value hierarchy, the Plan's assets measured at fair value as of December 31, 2009 and 2008. December 31, 2009 Level 1 Level 2 Level 3 Total Pooled separate accounts of John Hancock: Money Market Fund 8 - 62,191 - 62,191 Equity funds income funds - 169,355 - 169,355 Growth funds - 218,023 - 218,023 Blend funds - 323,896 - 323,896 Value funds - 44,401 - 44,401 Guaranteed investment accounts of John Hancock - 21,543 - 21,543 Participant loans receivable - - 100,354 100,354 Total assets at fair value - 839,409 100,354 8 939,763 December 31, 2008 Level 1 Level 2 Level 3 Total Pooled separate accounts of John Hancock: Money Market Fund - 146.340 - 146,340 Equity funds Income funds - 137,360 - 137,360 Growth funds - 106.614 - 106.614 Blend funds - 231.370 - 231 .370 Value funds - 25,209 - 25,209 Guaranteed investment accounts of John Hancock - 29,887 - 29,887 Participant loans receivable - - 110,417 110,417 Total assets at fair value 3 - 5?7-8739?? Caribbean Cruise Line, Inc. 401(k) Plan Notes to Financial Statements Note 4. Fair Value Measurements (Continued) The table below sets forth a summary of changes in the fair value of the Plan's Level 3 assets for the year ended December 31, 2009. Participant Loans Balance, beginning of year 110,417 Gains/losses - Purchases, sales, issuances and settlements (net) (10,063) Balance, end of year The following table sets forth additional disclosures of the Plan?s investments whose fair value is estimated using net asset value per share as of December 31, 2009: Unfunded Redemption Redemption Redemption Fair Value Commitment Frequency Notice Period Restriction Pooled separate accounts: Income funds 169,355 - None None Growth funds 218,023 - None None Blend funds (0) 323,896 - None None Value funds 44,401 - None None Total 755,675 - These funds primarily seek to maximize current income and total return. Investments are made in US government, foreign government, and ?xed income securities. These funds seek long-term growth of capital, seeking investments whose price will continue to increase over several years. Funds are typically invested in equity securities in both domestic and international companies. These funds seek conservation of capital and current income and long-term growth of capital and income. These funds invest in a broad range of securities including stocks and bonds and securities issued by the U.S government. These funds seek long-term total return and growth, typically invested in common and preferred stocks of companies both domestic and foreign. Participants who take redemptions from individual funds are not allowed to transfer back into those funds until the period has expired. New contributions are allowed during this time period. 10 Caribbean Cruise Line, Inc. 401(k) Plan Notes to Financial Statements Note 5. Investment Contract with Insurance Company The Plan has an investment contract with John Hancock Life Insurance Company USA. (?John Hancock"). John Hancock maintains the contributions in pooled accounts. The accounts are credited with earnings on the underlying investments and charged for Trust withdrawals and administrative expenses charged by John Hancock. The Plan also offers guaranteed interest investment options (guaranteed accounts) that earn guaranteed interest at speci?ed rates for speci?ed contract periods of 3 years, 5 years or 10 years. Contributions to these accounts are invested in the general assets of John Hancock and are guaranteed by John Hancock. The average yield earned on the guaranteed accounts for the year ended December 31, 2009 was 3.02%. The contract rates for contributions to these accounts at December 31, 2009 and 2008 were as follows: 2009 2008 3 year contract 0.15% 2.40% 5 year contract 0.80% 2.60% 10 year contract 1.40% 3.45% Due to the restriction that only allows participants to move up to 20% of their beginning-of-the?plan-year balance out of guaranteed accounts on four contract-speci?ed days within the Plan year without penalty. investments in these guaranteed accounts have been determined to not be fully bene?t-responsive. Note 6. Plan Termination Although it has not expressed any intent to do so, the Companies have the right under the Plan to discontinue their contributions at any time and to terminate the Plan subject to the provisions of ERISA. In the event of a Plan termination, participants will become 100% vested in their accounts. Any unallocated assets of the Plan shall be allocated to participant accounts and distributed in such a manner as the Companies may determine. Note 7. Tax Status Effective December 5, 2002, the Plan adopted a volume submitter plan sponsored by DATAIR. The volume submitter plan has received an opinion letter from the Internal Revenue Service as to the volume submitter plan?s quali?ed status. The volume submitter plan opinion letter has been relied upon by this Plan. The Plan Administrator believes the Plan is designed and is being operated in compliance with the applicable provisions of the Internal Revenue Code. Note 8. Related Party Transactions Certain Plan investments are shares of pooled separate accounts and guaranteed interest accounts managed by John Hancock. John Hancock is the custodian as de?ned by the Plan and, therefore, these transactions qualify as party-in-interest transactions. Fees paid to John Hancock by the Plan for investment services amounted to $13,390 for the year ended December 31, 2009. 11 Caribbean Cruise Line, Inc. 401(k) Plan Notes to Financial Statements Note 9. Risks and Uncertainties The Plan invests in various investment securities. Investment securities are exposed to various risks such as interest rate, market, and credit risks. Due to the level of risk associated with certain investment securities, it is at least reasonably possible that changes in the values of investment securities will occur in the near term and that such changes could materially affect participants' account balances and the amounts reporting in the statements of net assets available for bene?ts. Note 10. Prohibited Transactions During 2009, the Company inadvertently failed to deposit approximately $13,333 of participant deferrals within the required timeframe as stated by the United States Department of Labor The DOL considers late deposits to be prohibited transactions. The Company will ?le Form 5330 and pay applicable excise tax. The excise tax payments will be made from the Company?s assets and not from the assets of the Plan. 12