SEC Form 4 · accession 0001127602-17-030000
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 16, 2017
Accepted (ET)
Oct 18, 2017 · 1:54 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 StockF1,F2,F3 | Oct 16, 2017 | S | 90,903 | $67.408 | D | 477,601 | 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
- F1Represents a sale of shares to satisfy the tax obligation on the release of vested Performance Restricted Stock Units previously reported on October 18, 2016.
- F2This transaction was executed in multiple trades. The 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.
- F3Includes 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.