SEC Form 4 · accession 0001127602-17-002010
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
Jan 17, 2017
Accepted (ET)
Jan 19, 2017 · 2:38 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 17, 2017 | A | 30,161 | $0.00 | A | 548,236 | D | |
| Common StockF3,F4 | Jan 17, 2017 | S | 24,186 | $52.9511 | D | 524,050 | D | |
| Common Stock | holding | — | — | — | 14,556 | I | By The Arnold W. Donald Revocable Trust Uad 5/26/98 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant 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.
- F2The 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.
- F3This 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.
- F4Includes shares acquired pursuant to the purchase under, or the dividend reinvestment feature of, the reporting person's brokerage account or the Carnival Corporation Employee Stock Purchase Plan.