0001127602-13-032757.txt : 20131125 0001127602-13-032757.hdr.sgml : 20131125 20131125140328 ACCESSION NUMBER: 0001127602-13-032757 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131121 FILED AS OF DATE: 20131125 DATE AS OF CHANGE: 20131125 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CARNIVAL CORP CENTRAL INDEX KEY: 0000815097 STANDARD INDUSTRIAL CLASSIFICATION: WATER TRANSPORTATION [4400] IRS NUMBER: 591562976 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 3655 N W 87TH AVE STREET 2: PO BOX 1347 CITY: MIAMI STATE: FL ZIP: 33178-2428 BUSINESS PHONE: 3055992600 MAIL ADDRESS: STREET 1: 3655 N W 87TH AVE STREET 2: PO BOX 1347 CITY: MIAMI STATE: FL ZIP: 33178 FORMER COMPANY: FORMER CONFORMED NAME: CARNIVAL CRUISE LINES INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRANK HOWARD S CENTRAL INDEX KEY: 0001243482 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09610 FILM NUMBER: 131240487 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2013-11-21 0000815097 CARNIVAL CORP CCL 0001243482 FRANK HOWARD S CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 1 Vice Chairman & COO Common Stock 2013-06-21 5 G 0 E 1794 0 D 0 I Howard S. Frank Grat #5 Common Stock 2013-11-21 4 S 0 42729 35.7037 D 135759.2926 D Common Stock 2013-11-21 4 S 0 10066 35.7693 D 125693.2926 D Bona fide gift This transaction was executed in multiple trades at prices ranging from $35.67 to $35.75. The price reported above reflects the 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. This transaction was executed in multiple trades at prices ranging from $35.76 to $35.78. The price reported reflects the 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. /s/ Howard S. Frank 2013-11-25