SEC Form 4 · accession 0001127602-15-029280
Carnival Corp Ltd. · CCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arnold W Donald
Officer — President & CEO · Director
Period of report
Oct 15, 2015
Accepted (ET)
Oct 19, 2015 · 4:27 pm EDT
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 Stock | Oct 15, 2015 | M | 5,000 | $46.61 | A | 123,072 | D | |
| Common StockF1,F2 | Oct 15, 2015 | S | 5,000 | $49.9481 | D | 118,072 | D | |
| Common Stock | holding | — | — | — | 1,807 | I | By The Arnold W. Donald Revocable Trust Uad 5/26/98 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F3 | $46.61 | Oct 15, 2015 | M | 5,000 | D | Oct 18, 2006 | Oct 18, 2015 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $49.91 to $49.98. The price reported above 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.
- F2Includes shares acquired pursuant to the dividend reinvestment feature of the reporting person's brokerage account.
- F3Options vested ratably over five years beginning on the first anniversary of the grant date.