# EDGAR Filing Document

**Accession Number:** 0001564902
**File Stem:** 0001209191-23-016224
**Filing Date:** 2023-3
**Character Count:** 7619
**Document Hash:** 3d1b29f815a817cb06f4df494a04e9c7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-016224.hdr.sgml**: 20230306

**ACCESSION NUMBER**: 0001209191-23-016224

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230228

**FILED AS OF DATE**: 20230306

**DATE AS OF CHANGE**: 20230306

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Forrester James W Jr
- **CENTRAL INDEX KEY:** 0001962573

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-35883
- **FILM NUMBER:** 23708831

**MAIL ADDRESS:**
- **STREET 1:** 6240 SEA HARBOR DRIVE
- **CITY:** ORLANDO
- **STATE:** FL
- **ZIP:** 32821
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SeaWorld Entertainment, Inc.
- **CENTRAL INDEX KEY:** 0001564902
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-MISCELLANEOUS AMUSEMENT & RECREATION [7990]
- **IRS NUMBER:** 271220297
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 6240 SEA HARBOR DRIVE
- **CITY:** ORLANDO
- **STATE:** FL
- **ZIP:** 32821
- **BUSINESS PHONE:** (407) 226-5011

**MAIL ADDRESS:**
- **STREET 1:** 6240 SEA HARBOR DRIVE
- **CITY:** ORLANDO
- **STATE:** FL
- **ZIP:** 32821

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Forrester James W Jr<br><sub>(Last) (First) (Middle)</sub><br>C/O SEAWORLD ENTERTAINMENT, INC.<br>6240 SEA HARBOR DRIVE<br><sub>(Street)</sub><br>ORLANDO, FL 32821<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-28 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_See Remarks_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>SeaWorld Entertainment, Inc. [ SEAS ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-02-28 |  | A |  | 840<sup>(1)</sup> | A | $0.00 | 5180 | D |  |
| Common Stock | 2023-02-28 |  | A |  | 102<sup>(2)</sup> | A | $0.00 | 5282 | D |  |
| Common Stock | 2023-02-28 |  | F<sup>(3)</sup> |  | 282 | D | $64.60 | 5000 | D |  |
| Common Stock | 2023-03-02 |  | A |  | 3079<sup>(4)</sup> | A | $0.00 | 8079 | D |  |
| Common Stock | 2023-03-02 |  | A |  | 266<sup>(5)</sup> | A | $0.00 | 8345 | D |  |
| Common Stock | 2023-03-03 |  | S |  | 2615 | D | 67.21<sup>(6)</sup> | 5730 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Employee Stock option (right to buy) | $64.94 | 2023-03-02 |  | A |  | 3079 |  | <sup>(7)</sup> | 2033-03-02 | Common Stock | 3079 | $0.00 | 3079 | D |  |

---

### Footnotes:

(1) Represents common stock of the Issuer acquired upon settlement of a performance-based restricted stock unit award previously granted to the Reporting Person related to the 2019 Long Term Incentive Plan.

(2) Represents common stock of the Issuer acquired upon settlement of a performance-based restricted stock unit award previously granted to the Reporting Person related to the 2022 Bonus Incentive Plan.

(3) Shares withheld by the Company for the payment of tax liability incident to the vesting of shares of restricted stock.

(4) Represents restricted stock units issued pursuant to the Issuer's 2017 Omnibus Incentive Plan, which vests over four years, with 25%vesting on each of the first four anniversaries of the date of grant.

(5) Represents restricted stock units issued pursuant to the Issuer's 2017 Omnibus Incentive Plan, which vests over two years, with 50% vesting oneach of the first two anniversaries of the date of grant.

(6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $67.18 to $67.29, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

(7) The option becomes exercisable over four years, with 25% becoming exercisable on each of the first four anniversaries of the date of grant.

**Remarks:**
Title: Interim Chief Financial Officer and Treasurer

**Signature:** /s/ Jeffrey Schwartz, Power of Attorney  
**Date:** 2023-03-06

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**