SEC Form 4 · accession 0000950142-16-003047
Carnival Corp Ltd. · CCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Micky Meir Arison
Officer — Chairman of the Board · Director · 10% Owner
Period of report
Feb 9, 2016
Accepted (ET)
Feb 11, 2016 · 5:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000815097
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 9, 2016 | M | 17,798 | — | A | 3,256,008 | I | By Nickel 2003 Revocable Trust |
| Common StockF2 | Feb 9, 2016 | F | 4,854 | $40.79 | D | 3,251,154 | I | By Nickel 2003 Revocable Trust |
| Common StockF3 | holding | — | — | — | 87,419,457 | I | By various trusts |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F117,798 performance based restricted stock units of Carnival Corporation granted in 2013 were released in the form of Carnival Corporation Common Stock.
- F2Represents a surrender of shares of Carnival Corporation Common Stock to satisfy the tax obligation on the release of performance based restricted stock units of Carnival Corporation granted in 2013.
- F3Includes (i) 85,736,445 shares of Carnival Corporation Common Stock held by MA 1994 B Shares L.P., (ii) 841,506 shares of Carnival Corporation Common Stock held by the NA 2015-08 Trust and (iii) 841,506 shares of Carnival Corporation Common Stock held by the KA 2015-08 Trust. The Reporting Person disclaims beneficial ownership of the shares of Carnival Corporation Common Stock held by the NA 2015-08 Trust and the KA 2015-08 Trust.