0001127602-20-002061.txt : 20200121
0001127602-20-002061.hdr.sgml : 20200121
20200121150901
ACCESSION NUMBER: 0001127602-20-002061
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200116
FILED AS OF DATE: 20200121
DATE AS OF CHANGE: 20200121
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bernstein David
CENTRAL INDEX KEY: 0001406203
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-09610
FILM NUMBER: 20536200
MAIL ADDRESS:
STREET 1: 3655 NW 87TH AVENUE
CITY: MIAMI
STATE: FL
ZIP: 33178
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
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2020-01-16
0000815097
CARNIVAL CORP
CCL
0001406203
Bernstein David
CARNIVAL CORPORATION
3655 NW 87TH AVE
MIAMI
FL
33178
1
CFO & CAO
Common Stock
2020-01-16
4
F
0
87
50.9086
D
46812.114
D
Common Stock
2020-01-17
4
F
0
165
51.8148
D
47322.114
D
Common Stock
2020-01-17
4
A
0
5780
0
A
53102.114
D
Common Stock
2020-01-17
4
F
0
2275
51.90
D
50827.114
D
Represents a surrender of shares to satisfy a tax obligation on the settlement of dividend equivalents for restricted stock units ("RSUs") granted January 16, 2018.
Represents a surrender of shares to satisfy a tax obligation on the settlement of dividend equivalents for restricted stock units ("RSUs") granted January 17, 2017.
Grant of RSUs made pursuant to the Carnival Corporation 2011 Stock Plan. Award of RSUs represent a hypothetical interest in Carnival Corporation common stock. The RSUs will vest 50% as of January 17, 2020 due to the Reporting Person becoming eligible for retirement due to his age and 50% as of January 17, 2022. The RSUs will accumulate dividend equivalents and may only be settled in shares.
The grant was approved by the Compensation Committee as a total value to be received in the form of RSUs. The Compensation Committee also approved that the number of RSUs were determined by dividing the value by the closing price on date of grant.
Represents a surrender of shares to satisfy a tax obligation on the vesting of RSUs referenced in FN(3).
Includes shares acquired pursuant to purchases made under the Carnival Corporation Employee Stock Purchase Plan (ESPP), dividend reinvestments under the ESPP or the reporting person's brokerage account and/or dividend equivalent shares associated with the release of RSU grants.
/s/ David Bernstein
2020-01-21