0001127602-16-040594.txt : 20160211
0001127602-16-040594.hdr.sgml : 20160211
20160211151606
ACCESSION NUMBER: 0001127602-16-040594
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: DONALD ARNOLD W
CENTRAL INDEX KEY: 0001083206
STATE OF INCORPORATION: MO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09610
FILM NUMBER: 161411278
MAIL ADDRESS:
STREET 1: 1110 CLAYTON PLACE DRIVE
STREET 2: .
CITY: ST LOUIS
STATE: MO
ZIP: 63131
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2016-02-09
0000815097
CARNIVAL CORP
CCL
0001083206
DONALD ARNOLD W
CARNIVAL CORPORATION
3655 N.W. 87TH AVENUE
MIAMI
FL
33178
1
1
President & CEO
Common Stock
2016-02-09
4
A
0
54834
0
A
211879.732
D
Common Stock
2016-02-09
4
S
0
23281
40.79
D
188598.732
D
Common Stock
1807
I
By The Arnold W. Donald Revocable Trust Uad 5/26/98
Grant of performance-based restricted stock units ("Performance RSUs") granted on July 16, 2013 pursuant to the Carnival Corporation 2011 Stock Plan and the Reporting Person's Employment Agreement. 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.
Represents a surrender of shares to satisfy the tax obligation on the vesting of the Performance RSUs.
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/ Arnold Donald
2016-02-11