SEC Form 4 · accession 0001127602-18-029262
Carnival Corp Ltd. · CCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arnaldo Perez
Officer — General Counsel & Secretary
Period of report
Oct 1, 2018
Accepted (ET)
Oct 3, 2018 · 9:39 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 StockF2 | Oct 1, 2018 | S | 6,500 | $64.23 | D | 11,806 | I | The Arnaldo Perez Trust U/A/D 3/18/2014 |
| Common StockF3 | Oct 1, 2018 | S | 500 | $64.694 | D | 11,306 | I | The Arnaldo Perez Trust U/A/D 3/18/2014 |
| Common StockF4 | holding | — | — | — | 23,803 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 6, 2018.
- F2This transaction was executed in multiple trades at prices ranging from $63.63 to $64.62. 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.
- F3This transaction was executed in multiple trades at prices ranging from $64.67 to $64.73. 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.
- 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.