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Home > Insider Trading > Filing (0001127602-16-040591)

Filing Details

Accession Number:
0001127602-16-040591
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-02-11 15:12:11
Reporting Period:
2016-02-09
Filing Date:
2016-02-11
Accepted Time:
2016-02-11 15:12:11
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
815097 Carnival Corp CCL Water Transportation (4400) 591562976
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1406203 David Bernstein Carnival Corporation
3655 Nw 87Th Ave
Miami FL 33178		 Chief Financial Officer No Yes No No
Reported Non-Derivative Transactions
Show Other Fields >>
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-02-09 10,802 $0.00 61,753 No 4 A Direct
Common Stock Disposition 2016-02-09 4,588 $40.79 57,165 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
Footnotes
  1. Grant of performance-based restricted stock units ("Performance RSUs") granted on July 16, 2013 pursuant to the Carnival Corporation 2011 Stock Plan. Each Performance RSU represents one share of Carnival Corporation common stock.
  2. Reporting person was eligible to earn from 0-150% of his target amount of Performance RSUs to the extent that Carnival Corporation & plc's annual earnings before interest and taxes ("EBIT"), as adjusted for certain fuel price changes and Emission Control Areas related fuel expenses, for each of the three fiscal years in the 2013-2015 performance cycle exceeded 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.
  3. Includes shares from a settlement of dividend equivalents accumulated during the restricted period of a Performance RSU award originally granted in 2013, which has now vested.
  4. Represents a surrender of shares to satisfy the tax obligation on the vesting of the Performance RSUs.
  5. This transaction was executed in multiple trades. 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.