Filing Details
- Accession Number:
- 0001127602-17-000027
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-01-03 11:56:08
- Reporting Period:
- 2016-12-29
- Filing Date:
- 2017-01-03
- Accepted Time:
- 2017-01-03 11:56:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 815097 | Carnival Corp | CCL | Water Transportation (4400) | 591562976 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1270033 | Stein Kruse | Carnival Corporation 3655 Nw 87Th Ave Miami FL 33178 | Ceo, Holland America Group | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2016-12-29 | 121,329 | $0.00 | 194,762 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2016-12-29 | 60,664 | $52.11 | 134,098 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Footnotes
- Grant of performance-based restricted stock units ("Performance RSUs") granted on December 27, 2013 pursuant to the Carnival Corporation 2011 Stock Plan. Each Performance RSU represents one share of Carnival Corporation common stock. The Performance RSU's will vest 50% as of December 29, 2016 and 50% as of December 27, 2017.
- The reporting person was eligible to earn from 0-5 times the stated target amount of Performance RSUs to the extent that the compound annual growth rate of Carnival Corporation & plc's total shareholder return over a three year performance cycle exceeded specified performance goals.
- This transaction was executed in multiple trades. The price reported reflects the weighted 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.
- Includes shares acquired pursuant to the purchase under, or the dividend reinvestment feature of, the Carnival Corporation Employee Stock Purchase Plan.
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