SEC Form 4 · accession 0001127602-18-032706
Carnival Corp Ltd. · CCL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stein Kruse
Officer — CEO, Holland America Group
Period of report
Nov 8, 2018
Accepted (ET)
Nov 13, 2018 · 8:13 am 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 StockF1,F2 | Nov 8, 2018 | F | 11,401 | $58.12 | D | 57,189 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a surrender of shares to satisfy the tax obligation on the vesting of restricted stock units released on November 8, 2018 as a result of the Reporting Person becoming eligible for retirement due to his age.
- F2Includes shares from a settlement of dividend equivalents accumulated during the restricted period of a restricted stock unit award which has now vested and includes 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.