SEC Form 4 · accession 0001127602-16-036847
Carnival Corp Ltd. · CCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Larry R. Freedman
Officer — Chief Accounting Officer · Other
Period of report
Jan 11, 2016
Accepted (ET)
Jan 13, 2016 · 2:42 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 StockF2 | Jan 11, 2016 | A | 5,839 | $0.00 | A | 28,458 | D | |
| Common StockF3,F4 | Jan 11, 2016 | F | 1,688 | $53.94 | D | 26,770 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock made pursuant to the Carnival Corporation 2011 Stock Plan. The restriction on the shares lapse on the third anniversary of the grant date.
- F2The grant was approved by the Compensation Committee as a total value to be received in the form of restricted shares. The Compensation Committee also approved that the number of shares was to be determined by dividing the value by the closing price on date of grant.
- F3Represents a surrender of shares to satisfy tax obligation on the vesting of the Restricted Stock Award.
- F4Includes shares acquired pursuant to the dividend reinvestment feature of the reporting person's brokerage account.