0001127602-16-040592.txt : 20160211 0001127602-16-040592.hdr.sgml : 20160211 20160211151446 ACCESSION NUMBER: 0001127602-16-040592 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160209 FILED AS OF DATE: 20160211 DATE AS OF CHANGE: 20160211 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: BUCKELEW ALAN CENTRAL INDEX KEY: 0001280888 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09610 FILM NUMBER: 161411271 MAIL ADDRESS: STREET 1: 3655 NW 87TH AVE CITY: MIAMI STATE: FL ZIP: 33156 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-02-09 0000815097 CARNIVAL CORP CCL 0001280888 BUCKELEW ALAN CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 Chief Operations Officer Common Stock 2016-02-09 4 A 0 5808 0 A 130428.5171 D Common Stock 2016-02-09 4 S 0 5808 40.79 D 124620.5171 D Grant of performance-based restricted stock units ("Performance RSUs") granted on July 16, 2013 pursuant to the Carnival Corporation 2011 Stock Plan. Each Performance RSU represents one share of Carnival Corporation common stock. Reporting person was eligible to earn from 0-150% of his target amount of Performance RSUs to the extent that Carnival Corporation & plc's 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 exceeded specified performance goals, as modified at the end of the three year performance cycle for Carnival Corporation & plc's total shareholder return rank relative to peers. Includes shares from a settlement of dividend equivalents accumulated during the restricted period of a Performance RSU award originally granted in 2013, which has now vested. This transaction was executed in multiple trades. The price reported reflects the average sale price. 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 transaction was effected. /s/ Alan B. Buckelew 2016-02-11