Filing Details

Accession Number:
0001127602-17-002009
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-01-19 14:37:05
Reporting Period:
2017-01-17
Filing Date:
2017-01-19
Accepted Time:
2017-01-19 14:37:05
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 Information 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 2017-01-17 14,362 $0.00 195,128 No 4 A Direct
Common Stock Disposition 2017-01-17 5,493 $53.09 189,635 No 4 F Direct
Common Stock Disposition 2017-01-17 9,273 $52.95 180,362 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 F Direct
No 4 S Direct
Footnotes
  1. Grant of restricted stock units ("RSUs") made pursuant to the Carnival Corporation 2011 Stock Plan. Award of RSUs represent a hypothetical interest in Carnival Corporation common stock. The restriction on the RSUs lapse on the second anniversary of the grant date. The RSUs will accumulate dividend equivalents and may only be settled in shares.
  2. 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.
  3. Represents a surrender of shares to satisfy a tax obligation on the vesting of the RSUs.
  4. 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.