0000950142-13-001793.txt : 20130809 0000950142-13-001793.hdr.sgml : 20130809 20130809172435 ACCESSION NUMBER: 0000950142-13-001793 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130807 FILED AS OF DATE: 20130809 DATE AS OF CHANGE: 20130809 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 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: 131027675 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 4 1 es1300982_4-ccl.xml OWNERSHIP DOCUMENT X0306 4 2013-08-07 0 0000815097 CARNIVAL CORP CCL 0001142244 ARISON MICKY MEIR CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 1 1 0 Chairman of the Board Common Stock 2013-08-07 4 M 0 120000 34.45 A 235200 D Common Stock 2013-08-07 4 F 0 115200 37 D 120000 D Common Stock 2013-08-07 5 G 0 E 120000 0 D 0 D Common Stock 2013-08-07 5 G 0 E 120000 0 A 3549247 I By Nickel 2003 Revocable Trust Common Stock 107140843 I By Various Trusts Stock Option (Right to Buy) 34.45 2013-08-07 4 M 0 120000 0 A 2013-10-13 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 August 7, 2013. The options had been granted to Mr. Arison pursuant to the Amended and Restated Carnival Corporation 2002 Stock Plan in October 2003. The options were due to expire on October 13, 2013. The purchase price of each share of common stock (which includes each paired Trust Share) was $34.45. In accordance with Rule 16b-3(e), Mr. Arison surrendered 115,200 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 August 7, 2013. Includes (i) 100,638,843 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) 1,795,151 shares of common stock held by the Nickel 2008-2 GRAT; (iv) 687,498 shares of common stock held by the Nickel 2009 GRAT; (v) 480,958 shares of common stock held by the Nickel 2010 GRAT; and (vi) 3,000,000 shares of common stock held by the Nickel 97A-B Trust. The options vested 20% per year over 5 years beginning on the first anniversary of the grant date. /s/ Micky Arison 2013-08-09