Filing Details

Accession Number:
0001127602-17-006833
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-17 14:39:15
Reporting Period:
2017-02-15
Filing Date:
2017-02-17
Accepted Time:
2017-02-17 14:39:15
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
1270033 Stein Kruse Carnival Corporation
3655 Nw 87Th Ave
Miami FL 33178
Ceo, Holland America Group 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 2017-02-15 31,158 $0.00 155,336 No 4 A Direct
Common Stock Disposition 2017-02-15 31,158 $55.88 124,178 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
Footnotes
  1. 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.
  2. 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.
  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.