0001127602-17-006834.txt : 20170217
0001127602-17-006834.hdr.sgml : 20170217
20170217144033
ACCESSION NUMBER: 0001127602-17-006834
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170215
FILED AS OF DATE: 20170217
DATE AS OF CHANGE: 20170217
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: PEREZ ARNALDO
CENTRAL INDEX KEY: 0001248899
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09610
FILM NUMBER: 17620964
MAIL ADDRESS:
STREET 1: 3655 NW 87TH AVE
STREET 2: C/O CARNIVAL CORP
CITY: MIAMI
STATE: FL
ZIP: 33178-2428
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2017-02-15
0000815097
CARNIVAL CORP
CCL
0001248899
PEREZ ARNALDO
CARNIVAL CORPORATION
3655 NW 87TH AVE
MIAMI
FL
33178
1
General Counsel & Secretary
Common Stock
2017-02-15
4
A
0
13004
0
A
81961.2362
D
Common Stock
2017-02-15
4
S
0
13004
55.8836
D
68957.2362
D
Vesting of performance-based restricted stock units ("Performance RSUs") granted on April 16, 2014 pursuant to the Carnival Corporation 2011 Stock Plan. Each Performance RSU represents one share of Carnival Corporation common stock.
The reporting person was eligible to earn from 0-200% of the stated target amount of Performance RSUs to the extent that Carnival Corporation & plc's annual earnings before interest and taxes, as adjusted for certain fuel price changes for each of the three fiscal years in the 2014-2016 performance cycle and return on invested capital at the end of the three year performance cycle exceed 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. This includes shares from the settlement of dividend equivalents accumulated during the Performance RSU restricted period.
This transaction was executed in multiple trades. The price reported reflects the weighted 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/ Arnaldo Perez
2017-02-17