0001127602-16-065069.txt : 20161020 0001127602-16-065069.hdr.sgml : 20161020 20161020135809 ACCESSION NUMBER: 0001127602-16-065069 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161018 FILED AS OF DATE: 20161020 DATE AS OF CHANGE: 20161020 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: 161944107 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 2016-10-18 0000815097 CARNIVAL CORP CCL 0001083206 DONALD ARNOLD W CARNIVAL CORPORATION 3655 N.W. 87TH AVENUE MIAMI FL 33178 1 1 President & CEO Common Stock 2016-10-18 4 A 0 432518 0 A 609597.118 D Common Stock 2016-10-18 4 S 0 91813 46.6725 D 517784.118 D Common Stock 14556 I By The Arnold W. Donald Revocable Trust Uad 5/26/98 Grant of performance-based restricted stock units ("Performance RSUs") granted on October 14, 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. The Performance RSU's will vest 50% as of October 18, 2016 and 50% as of October 14, 2017. The reporting person was eligible to earn from 0-5 times the stated target amount of Performance RSUs to the extent that the compound annual growth rate of Carnival Corporation & plc's total shareholder return over a three year performance cycle exceeded specified performance goals. Includes shares acquired pursuant to the purchase under, or the dividend reinvestment feature of, the reporting person's brokerage account or the Carnival Corporation Employee Stock Purchase Plan. Represents a surrender of shares to satisfy the tax obligation on the vesting of the Performance RSUs. This transaction was executed in multiple trades at prices ranging from $46.510 to $46.990. 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 W. Donald 2016-10-20