0000950142-14-001925.txt : 20140922
0000950142-14-001925.hdr.sgml : 20140922
20140922090308
ACCESSION NUMBER: 0000950142-14-001925
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140918
FILED AS OF DATE: 20140922
DATE AS OF CHANGE: 20140922
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: 141113124
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
es1401079_4-arison.xml
OWNERSHIP DOCUMENT
X0306
4
2014-09-18
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
2014-09-18
4
S
0
17499
40.0607
D
5379
I
By Nickel 97-07 Trust
Common Stock
2014-09-18
4
S
0
94338
40.0607
D
95765444
I
By MA 1994 B Shares, L.P.
Common Stock
2014-09-18
4
S
0
50679
40.0607
D
3015502
I
By Nickel 2003 Revocable Trust
Common Stock
2014-09-19
4
S
0
5379
40.7510
D
0
I
By Nickel 97-07 Trust
Common Stock
2014-09-19
4
S
0
28999
40.7510
D
95736445
I
By MA 1994 B Shares, L.P.
Common Stock
2014-09-19
4
S
0
15580
40.7510
D
2999922
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 $40.11. 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 $40.11. 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 $40.11. 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 $40.43 to $41.14. 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 $40.43 to $41.14. 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 $40.43 to $41.14. 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
2014-09-22