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