SEC Form 4 · accession 0001127602-16-048666
Carnival Corp Ltd. · CCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Glasier
Director
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 10:06 am 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 | Apr 1, 2016 | M | 10,000 | $47.83 | A | 34,686 | D | |
| Common StockF1 | Apr 1, 2016 | S | 10,000 | $52.43 | D | 24,686 | D |
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)F2 | $47.83 | Apr 1, 2016 | M | 10,000 | D | Oct 16, 2007 | Oct 16, 2016 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The price reported reflects the 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.
- F2Options vest ratably over five years beginning on the first anniversary of the grant date.