0000950142-14-001289.txt : 20140624 0000950142-14-001289.hdr.sgml : 20140624 20140609085911 ACCESSION NUMBER: 0000950142-14-001289 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140605 FILED AS OF DATE: 20140609 DATE AS OF CHANGE: 20140609 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: 14898241 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 es1400764_4-arison.xml OWNERSHIP DOCUMENT X0306 4 2014-06-05 0 0000815097 CARNIVAL CORP CCL 0001142244 ARISON MICKY MEIR C/O CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 1 1 0 Chairman of the Board Common Stock 2014-06-05 4 S 0 42672 40.1152 D 238537 I By Nickel 97-07 Trust Common Stock 2014-06-05 4 S 0 230038 40.1152 D 97022370 I By MA 1994 B Shares, L.P. Common Stock 2014-06-05 4 S 0 123579 40.1152 D 3725164 I By Nickel 2003 Revocable Trust Common Stock 2014-06-06 4 S 0 60884 40.3309 D 177653 I By Nickel 97-07 Trust Common Stock 2014-06-06 4 S 0 328220 40.3309 D 96694150 I By MA 1994 B Shares, L.P. Common Stock 2014-06-06 4 S 0 176324 40.3309 D 3548840 I By Nickel 2003 Revocable Trust Common Stock 1954324 I By various trusts These shares were sold pursuant to a Rule 10b5-1(c) sales plan dated February 28, 2014, relating to the sale of up to 5,000,000 shares of Carnival Corporation Common Stock. The transaction was executed in multiple trades at prices ranging from $40.03 to $40.19. The price reported above reflects the weighted average purchase prices on the dates indicated. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. The transaction was executed in multiple trades at prices ranging from $40.03 to $40.19. The price reported above reflects the weighted average purchase prices on the dates indicated. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. The transaction was executed in multiple trades at prices ranging from $40.03 to $40.19. The price reported above reflects the weighted average purchase prices on the dates indicated. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. The transaction was executed in multiple trades at prices ranging from $40.135 to $40.55. The price reported above reflects the weighted average purchase prices on the dates indicated. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. The transaction was executed in multiple trades at prices ranging from $40.135 to $40.55. The price reported above reflects the weighted average purchase prices on the dates indicated. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. The transaction was executed in multiple trades at prices ranging from $40.135 to $40.55. The price reported above reflects the weighted average purchase prices on the dates indicated. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. Includes (i) 442,307 shares of Carnival Corporation Common Stock held by the Nickel 2009 GRAT; (ii) 756,008 shares of Carnival Corporation Common Stock held by the NA 2008 Trust; and (iii) 756,009 shares of Carnival Corporation Common Stock held by the KA 2008 Trust. The Reporting Person disclaims beneficial ownership of the shares of Carnival Corporation Common Stock held by the NA 2008 Trust and the KA 2008 Trust. /s/ John J. O'Neil, attorney-in-fact 2014-06-09