0000950142-11-001653.txt : 20110923 0000950142-11-001653.hdr.sgml : 20110923 20110923144442 ACCESSION NUMBER: 0000950142-11-001653 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110922 FILED AS OF DATE: 20110923 DATE AS OF CHANGE: 20110923 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARISON MICKY MEIR CENTRAL INDEX KEY: 0001142244 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09610 FILM NUMBER: 111104989 MAIL ADDRESS: STREET 1: C/O PAUL WEISS RIFKIND WHARTON STREET 2: 1285 AVENUE OF THE AMERICAS 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10019-6064 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CARNIVAL CORP CENTRAL INDEX KEY: 0000815097 STANDARD INDUSTRIAL CLASSIFICATION: WATER TRANSPORTATION [4400] IRS NUMBER: 591562976 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 3655 N W 87TH AVE STREET 2: PO BOX 1347 CITY: MIAMI STATE: FL ZIP: 33178-2428 BUSINESS PHONE: 3055992600 MAIL ADDRESS: STREET 1: 3655 N W 87TH AVE STREET 2: PO BOX 1347 CITY: MIAMI STATE: FL ZIP: 33178 FORMER COMPANY: FORMER CONFORMED NAME: CARNIVAL CRUISE LINES INC DATE OF NAME CHANGE: 19920703 4 1 es1100688_form4-ccl.xml OWNERSHIP DOCUMENT X0304 4 2011-09-22 0 0000815097 CARNIVAL CORP CCL 0001142244 ARISON MICKY MEIR CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 1 1 0 Chairman & CEO Common Stock 2011-09-22 4 M 0 120000 22.57 A 218783 D Common Stock 2011-09-22 4 F 0 98783 31.27 D 120000 D Common Stock 2011-09-22 5 G 0 E 120000 0 D 0 D Common Stock 2011-09-22 5 G 0 E 120000 0 A 1321696 I By Nickel 2003 Revocable Trust Stock Option (Right to Buy) 22.57 2011-09-22 4 M 0 120000 0 A 2011-10-08 Common Stock 120000 0 D The transactions reported in this Form 4 reflect the exercise of options to purchase 120,000 shares of Carnival Corporation common stock by Mr. Arison on September 22, 2011. The options had been granted to Mr. Arison pursuant to the Amended and Restated Carnival Corporation 1992 Stock Option Plan in 2001. The options were due to expire on October 8, 2011. The purchase price of each share of common stock (which includes each paired Trust Share) was $22.57. In accordance with rule 16b-3(e), Mr. Arison delivered 98,783 shares of Carnival common stock, each paired with one Trust Share, to pay the purchase price and applicable withholding taxes. Determined in accordance with the terms of the Amended and Restated Carnival Corporation 1992 Stock Option Plan, and represents the closing price of shares of Carnival Corporation common stock on September 22, 2011. The options vested 20% per year over 5 years beginning on the first anniversary of the grant date. /s/ Micky Arison 2011-09-23