Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-20-002062
Date:2020-01-16
Issuer: CARNIVAL CORP (CCL)
Original Submission Date:

Reporting Person:

DONALD ARNOLD W
CARNIVAL CORPORATION
3655 N.W. 87TH AVENUE MIAMI, FL 33178

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-01-16 F 13,620 d $50.91 92,785 direct
COMMON STOCK 2020-01-17 F 13,264 d $51.81 83,067 direct
COMMON STOCK 2020-01-17 A 21,676 a $0.00 104,743 direct
COMMON STOCK 2020-01-17 F 8,530 d $51.90 96,213 direct
COMMON STOCK 2020-01-16 0 $0.00 483,391 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 represents a surrender of shares to satisfy a tax obligation on the vesting of restricted stock units ("rsus") granted january 16, 2018, and settlement of dividend equivalents.
f2 represents a surrender of shares to satisfy a tax obligation on the vesting of rsus granted january 17, 2017, and settlement of dividend equivalents.
f3 grant of rsus made pursuant to the carnival corporation 2011 stock plan. award of rsus represent a hypothetical interest in carnival corporation common stock. the rsus will vest 50% as of january 17, 2020 due to the reporting person becoming eligible for retirement due to his age and 50% as of january 17, 2022. the rsus will accumulate dividend equivalents and may only be settled in shares.
f4 the 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.
f5 represents a surrender of shares to satisfy a tax obligation on the vesting of rsus referenced in fn(3).
f6 includes shares acquired pursuant to purchases made under the carnival corporation employee stock purchase plan (espp), dividend reinvestments under the espp or the reporting person's brokerage account and/or dividend equivalent shares associated with the release of rsu grants.
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