0001127602-20-002063.txt : 20200121 0001127602-20-002063.hdr.sgml : 20200121 20200121151414 ACCESSION NUMBER: 0001127602-20-002063 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: KRUSE STEIN CENTRAL INDEX KEY: 0001270033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09610 FILM NUMBER: 20536226 MAIL ADDRESS: STREET 1: HOLLAND AMERICA LINE STREET 2: 300 ELLIOTT AVE WEST CITY: SEATTLE STATE: WA ZIP: 98119 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 0001270033 KRUSE STEIN CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 CEO, Holland America Group Common Stock 2020-01-16 4 F 0 161 50.9086 D 61870.578 D Common Stock 2020-01-17 4 F 0 247 51.8148 D 62455.578 D Common Stock 2020-01-17 4 A 0 4537 0 A 66992.578 D Common Stock 2020-01-17 4 F 0 1162 51.90 D 65830.578 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 settlement of dividend equivalents 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/ Stein Kruse 2020-01-21