0001127602-13-023083.txt : 20130718
0001127602-13-023083.hdr.sgml : 20130718
20130718145205
ACCESSION NUMBER: 0001127602-13-023083
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130716
FILED AS OF DATE: 20130718
DATE AS OF CHANGE: 20130718
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: FRANK HOWARD S
CENTRAL INDEX KEY: 0001243482
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09610
FILM NUMBER: 13974708
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2013-07-16
0000815097
CARNIVAL CORP
CCL
0001243482
FRANK HOWARD S
CARNIVAL CORPORATION
3655 NW 87TH AVE
MIAMI
FL
33178
1
1
Vice Chairman & COO
Common Stock
2013-07-16
4
A
0
8048
0
A
181334.0356
D
Common Stock
2013-07-16
4
F
0
3377
36.25
D
177957.0356
D
Common Stock
1794
I
Howard S. Frank Grat #5
On July 16, 2013, the reporting person was granted 20,121 performance-based restricted stock units ("Performance RSUs"). 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), the Reporting Person may earn from 0-150% of his target amount of Performance RSUs to the extent that Carnival Corporation & plc's ("Carnival") annual earnings before interest and taxes ("EBIT"), as adjusted for certain fuel price changes and Emission Control Areas related fuel expenses, for each of the three fiscal years in the 2013-2015 performance cycle exceeds specified performance goals, as modified at the end of the three year performance cycle for Carnival's total shareholder return rank relative to peers. Because, as of the date of the grant, the Reporting Person was eligible for retirement due to his age, 8,048 Performance RSU's vested on July 16, 2013.
Represents a surrender of shares to satisfy the tax obligation on the vesting of the Performance RSUs.
Includes shares acquired pursuant to the purchase under, or the dividend reinvestment feature of, the Carnival Corporation Employee Stock Purchase Plan.
/s/ Howard S. Frank
2013-07-18