Filing Details

Accession Number:
0001127602-17-000026
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-01-03 11:54:53
Reporting Period:
2016-12-29
Filing Date:
2017-01-03
Accepted Time:
2017-01-03 11:54:53
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
1280888 Alan Buckelew Carnival Corporation
3655 Nw 87Th Ave
Miami FL 33178
Chief Operations Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-12-29 121,329 $0.00 241,430 No 4 A Direct
Common Stock Disposition 2016-12-29 60,664 $52.11 180,766 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 December 27, 2013 pursuant to the Carnival Corporation 2011 Stock Plan. Each Performance RSU represents one share of Carnival Corporation common stock. The Performance RSU's will vest 50% as of December 29, 2016 and 50% as of December 27, 2017.
  2. 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.
  3. 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.
  4. Includes shares acquired pursuant to the dividend reinvestment feature of the reporting person's brokerage account.