Filing Details
- Accession Number:
- 0001127602-11-007784
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-28 10:07:52
- Reporting Period:
- 2011-02-25
- Filing Date:
- 2011-02-28
- Accepted Time:
- 2011-02-28 10:07:52
- 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 |
|---|---|---|---|---|---|---|---|
| 1243482 | S Howard Frank | Carnival Corporation 3655 Nw 87Th Ave Miami FL 33178 | Vice Chairman & Coo | Yes | 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 | 2011-02-25 | 20,000 | $27.88 | 413,859 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-02-25 | 40,000 | $34.45 | 453,859 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-25 | 180,000 | $42.60 | 273,859 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-02-25 | 20,000 | $0.00 | 20,000 | $27.88 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-02-25 | 40,000 | $0.00 | 40,000 | $34.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2003-12-02 | 2012-12-02 | No | 4 | M | Direct |
| 0 | 2004-10-13 | 2013-10-13 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 907 | Indirect | Howard S. Frank GRAT #4 |
| Common Stock | 8,592 | Indirect | Howard S. Frank GRAT #5 |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $42.50 to $42.73. The price reported above 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.
- Represents stock options granted under the Carnival Corporation 2002 Stock Plan.
- The options vest ratably over five years beginning on the first anniversary of the grant date.
Billionaire Hedge Funds
