0000950142-12-002182.txt : 20121114
0000950142-12-002182.hdr.sgml : 20121114
20121114185630
ACCESSION NUMBER: 0000950142-12-002182
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121109
FILED AS OF DATE: 20121114
DATE AS OF CHANGE: 20121114
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: 121206168
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
es1201175_4-ccl.xml
OWNERSHIP DOCUMENT
X0306
4
2012-11-09
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
2012-11-09
4
M
0
120000
27.875
A
120000
D
Common Stock
2012-11-09
4
F
0
98024
39.16
D
21976
D
Common Stock
2012-11-09
5
G
0
E
21976
0
D
0
D
Common Stock
2012-11-09
5
G
0
E
21976
0
A
2575980
I
By Nickel 2003 Revocable Trust
Common Stock
108078788
I
By Various Trusts
Stock Option (Right to Buy)
27.875
2012-11-09
4
M
0
120000
0
A
2012-12-02
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 November 9, 2012. The options had been granted to Mr. Arison pursuant to the Amended and Restated Carnival Corporation 2002 Stock Plan in 2002. The options were due to expire on December 2, 2012. The purchase price of each share of common stock (which includes each paired Trust Share) was $27.875. In accordance with Rule 16b-3(e), Mr. Arison surrendered 98,024 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 2002 Stock Plan, and represents the closing price of shares of Carnival Corporation common stock on November 9, 2012.
Includes (i) 103,638,843 shares of common stock held by MA 1994 B Shares, L.P.; (ii) 538,393 shares of common stock held by the Nickel 97-07 Trust; (iii) 2,023,761 shares of common stock held by the Nickel 2008-2 GRAT; (iv) 876,929 shares of common stock held by the Nickel 2009 GRAT; and (v) 1,000,862 shares of common stock held by the Nickel 2010 GRAT.
The options vested 20% per year over 5 years beginning on the first anniversary of the grant date.
/s/ Micky Arison
2012-11-14