SEC Form 4 · accession 0001127602-19-002103
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
Jan 14, 2019
Accepted (ET)
Jan 16, 2019 · 2:42 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 14, 2019 | A | 7,845 | $0.00 | A | 29,365 | D | |
| Common Stock | holding | — | — | — | 11,306 | I | The Arnaldo Perez Trust U/A/D 3/18/2014 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock units ("MTE 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 MTE RSUs lapse on the second anniversary of the grant date. The MTE 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 MTE RSUs. The Compensation Committee also approved that the number of MTE RSUs were determined by dividing the value by the closing price on date of grant.