-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TfKPDKQpTH/OBY572gC6E9W/DGV2li2EXFpl1ClPyq0+b2Mh6eTKtP6tIlAmXxX/ Lf2r1cd5nlYNlmfpOcCAQg== 0001125259-06-000001.txt : 20060106 0001125259-06-000001.hdr.sgml : 20060106 20060106141703 ACCESSION NUMBER: 0001125259-06-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060105 FILED AS OF DATE: 20060106 DATE AS OF CHANGE: 20060106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRANK HOWARD S CENTRAL INDEX KEY: 0001243482 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09610 FILM NUMBER: 06515957 BUSINESS ADDRESS: STREET 1: 3655 NW 87 AVE CITY: MIAMI STATE: FL ZIP: 33126 BUSINESS PHONE: 3055992600X19067 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 edgar.xml PRIMARY DOCUMENT X0202 4 2006-01-05 0000815097 CARNIVAL CORP CUK 0001243482 FRANK HOWARD S C/O CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 1 0 0 Vice Chairman & COO Trust Shares (beneficial interest in special voting share) 2006-01-05 4 M 0 31800 26.4062 A 357536.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 1000 54.30 D 356536.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 4700 54.25 D 351836.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 1300 54.24 D 350536.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 1800 54.23 D 348736.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 200 54.20 D 348536.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 1700 54.19 D 346836.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 400 54.18 D 346436.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 8600 54.17 D 337836.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 2100 54.16 D 335736.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 3600 54.15 D 332136.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 900 54.14 D 331236.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 300 54.13 D 330936.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 3000 54.10 D 327936.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-05 4 S 0 2200 54.00 D 325736.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-06 4 M 0 68200 26.4062 A 393936.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-06 4 M 0 160000 29.8125 A 553936.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-06 4 M 0 80000 22.57 A 633936.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-06 4 M 0 60000 27.875 A 693936.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-06 4 S 0 1000 54.03 D 692936.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-06 4 S 0 20000 54.01 D 672936.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-06 4 S 0 48600 54.00 D 624336.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-06 4 S 0 15000 53.96 D 609336.6265 D Trust Shares (beneficial interest in special voting share) 2006-01-06 4 S 0 283600 53.95 D 325736.6265 D Stock Option (Right to Buy) 26.4062 2006-01-05 4 M 0 31800 0 D 2008-01-12 Trust Shares (beneficial interest in special voting share) 31800 68200 D Stock Option (Right to Buy) 26.4062 2006-01-06 4 M 0 68200 0 D 2008-01-12 Trust Shares (beneficial interest in special voting share) 68200 0 D Stock Option (Right to Buy) 29.8125 2006-01-06 4 M 0 160000 0 D 2011-01-08 Trust Shares (beneficial interest in special voting share) 160000 40000 D Stock Option (Right to Buy) 22.57 2006-01-06 4 M 0 80000 0 D 2011-10-08 Trust Shares (beneficial interest in special voting share) 80000 20000 D Stock Option (Right to Buy) 27.875 2006-01-06 4 M 0 60000 0 D 2012-12-02 Trust Shares (beneficial interest in special voting share) 60000 40000 D Includes shares acquired pursuant to purchase under, or the dividend reinvestment feature of, the Carnival Corporation Employee Stock Purchase Plan. Represents trust shares (the "Trust Shares") of beneficial interests in P&O Princess Voting Trust (the "Trust"). In connection with the dual listed company transaction between Carnival plc (fka P&O Princess Cruises plc) and Carnival Corporation (the "DLC Transaction"), Carnival plc issued one special voting share to the Trust and, following a series of transactions, the Trust Shares were distributed to holders of common stock of Carnival Corporation (the "Carnival Corporation Common Stock"). Since completion of the DLC Transaction on April 17, 2003, if Carnival Corporation issues Carnival Corporation Common Stock to a person, the Trust will issue an equivalent number of Trust Shares to such person. The Trust Shares are paired with shares of Carnival Corporation Common Stock and are represented by the same stock certificate. The Trust Shares represent a beneficial interest in the Carnival plc special voting share. The option vested in equal installments on the first through fifth anniversaries of the January 12, 1998 grant date. The option vested in equal installments on the first through fourth anniversaries of the January 8, 2001 grant date. The option vested in equal installments on the first through fourth anniversaries of the October 8, 2001 grant date. The option vested in equal installments on the first through third anniversaries of the December 2, 2002 grant date. Howard S. Frank 2006-01-06 -----END PRIVACY-ENHANCED MESSAGE-----