0001127602-13-014107.txt : 20130417 0001127602-13-014107.hdr.sgml : 20130417 20130417155149 ACCESSION NUMBER: 0001127602-13-014107 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130415 FILED AS OF DATE: 20130417 DATE AS OF CHANGE: 20130417 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Freedman Larry R. CENTRAL INDEX KEY: 0001406538 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09610 FILM NUMBER: 13766900 MAIL ADDRESS: STREET 1: 3655 NW 87TH AVENUE CITY: MIAMI STATE: FL ZIP: 33178 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 form4.xml PRIMARY DOCUMENT X0306 4 2013-04-15 0000815097 CARNIVAL CORP CCL 0001406538 Freedman Larry R. CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 1 Chief Accounting Officer VP & Controller Common Stock 2013-04-15 4 A 0 1209 0 A 26532 D Common Stock 2013-04-15 4 F 0 348 33.17 D 26184 D Common Stock 2013-04-15 4 F 0 6797 33.17 D 19387 D On April 11, 2012, the reporting person was granted 2,016 performance-based restricted stock units ("Performance RSUs"). The Reporting Person may earn from 0-200% of his target amount of Performance RSUs depending on the extent of Carnival Corporation & plc's earnings per share growth over the three-year performance period ending with fiscal 2014, subject to his continued employment during the performance period (with earlier partial vesting in certain cases upon eligibility for retirement, or death or disability, prior to the expiration of the performance period). Because the Reporting Person is now eligible for retirement due to his age, 1,209 Performance RSU's vested on April 15, 2013. Represents settlement of dividend equivalents accumulated during the restricted period of a restricted stock unit award which has now vested. Represents a surrender of shares to satisfy the tax obligation on the vesting of the Performance RSUs. Represents a surrender of shares to satisfy the tax obligation on the vesting of restricted stock released on April 15, 2013 as a result of the Reporting Person becoming eligible for retirement due to his age. /s/ Larry R. Freedman 2013-04-17