-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, S70az44R7+GFEAhgKgV1IcEKXMOLjSgy5TKHpIHwWBJy1RxUeqL+YpBK1/R5eOO2 +RRjlMDSW42UO9lAzcOYIA== 0000950142-97-000627.txt : 19970806 0000950142-97-000627.hdr.sgml : 19970806 ACCESSION NUMBER: 0000950142-97-000627 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970805 SROS: NYSE GROUP MEMBERS: A.H.W. LIMITED GROUP MEMBERS: ANDREW H. WEINSTEIN GROUP MEMBERS: CARNIVAL CORP GROUP MEMBERS: CONTINUED TRUST FOR MICHAEL ARISON GROUP MEMBERS: CONTINUED TRUST FOR MICKY ARISON GROUP MEMBERS: CONTINUED TRUST FOR SHARI ARISON DORSMAN GROUP MEMBERS: JAMES M. DUBIN GROUP MEMBERS: JMD DELAWARE, INC. GROUP MEMBERS: KENTISH LIMITED GROUP MEMBERS: MARILYN B. ARISON GROUP MEMBERS: MARILYN B. ARISON IRREVOCABLE DELAWARE TRUST GROUP MEMBERS: MBA I, LLC GROUP MEMBERS: MICKY ARISON GROUP MEMBERS: MICKY ARISON 1994 "B" TRUST GROUP MEMBERS: MICKY ARISON HOLDINGS TRUST GROUP MEMBERS: SHARI ARISON GROUP MEMBERS: SHARI ARISON IRREVOCABLE GUERNSEY TRUST GROUP MEMBERS: TAF MANAGEMENT COMPANY GROUP MEMBERS: TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP GROUP MEMBERS: TAMMS MANAGEMENT CORPORATION GROUP MEMBERS: TED ARISON GROUP MEMBERS: TED ARISON 1994 IRREVOCABLE TRUST FOR SHARI NO. 1 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39580 FILM NUMBER: 97651680 BUSINESS ADDRESS: STREET 1: 3655 N W 87TH AVE STREET 2: PO BOX 1347 CITY: MIAMI STATE: FL ZIP: 33178 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 FILED BY: 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 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 3655 N W 87TH AVE STREET 2: PO BOX 1347 CITY: MIAMI STATE: FL ZIP: 33178 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 SC 13D/A 1 SCHEDULE 13D AMENDMENT NO. 3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to the Second Amended and Restated Schedule 13D Under the Securities Exchange Act of 1934 CARNIVAL CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) CLASS A COMMON STOCK ($.01 PAR VALUE) - -------------------------------------------------------------------------------- (Title of Class of Securities) 143658 10 2 - -------------------------------------------------------------------------------- (CUSIP Number) Arnaldo Perez, Esq. General Counsel Carnival Corporation 3655 N.W. 87th Avenue Miami, Florida 33178-2428 (305) 599-2600 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) JUNE 5/JULY 15, 1997 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: 1,826,583.34 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 1,826,583.34 ing Person With 10) Shared Dispositive Power: -0- 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 1,826,583.34 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 0.6% 14) Type of Reporting Person (See Instructions): OO Page 2 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: TAMMS MANAGEMENT CORPORATION 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: 1,826,583.34 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 182,658 ing Person With 10) Shared Dispositive Power: 1,643,925.34 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 1,826,583.34 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 0.6% 14) Type of Reporting Person (See Instructions): CO Page 3 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: TED ARISON 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Israel Number of 7) Sole Voting Power: 55,693,016 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 55,693,016 ing Person With 10) Shared Dispositive Power: -0- 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 55,693,016 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] 13) Percent of Class Represented by Amount in Row (11): 18.7% 14) Type of Reporting Person (See Instructions): IN Page 4 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: THE CONTINUED TRUST FOR MICHAEL ARISON 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: 2,000,000 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 2,000,000 ing Person With 10) Shared Dispositive Power: 379,504.68 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 2,379,504.68 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 0.8% 14) Type of Reporting Person (See Instructions): OO Page 5 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: THE SHARI ARISON IRREVOCABLE GUERNSEY TRUST 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Guernsey, Channel Islands Number of 7) Sole Voting Power: -0- Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 3,551,354 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 3,551,354 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 1.2% 14) Type of Reporting Person (See Instructions): OO Page 6 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: THE CONTINUED TRUST FOR SHARI ARISON DORSMAN 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: 2,000,000 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 2,000,000 ing Person With 10) Shared Dispositive Power: 379,504.66 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 2,379,504.66 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 0.8% 14) Type of Reporting Person (See Instructions): OO Page 7 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: THE TED ARISON 1994 IRREVOCABLE TRUST FOR SHARI NO. 1 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Jersey, Channel Islands Number of 7) Sole Voting Power: -0- Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 15,042,858 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 15,042,858 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 5.1% 14) Type of Reporting Person (See Instructions): OO Page 8 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: SHARI ARISON 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: United States and Israel Number of 7) Sole Voting Power: 3,000,000 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 3,000,000 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 3,000,000 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 1.0% 14) Type of Reporting Person (See Instructions): IN Page 9 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: THE MARILYN B. ARISON IRREVOCABLE DELAWARE TRUST 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: 1,200,000 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 1,200,000 ing Person With 10) Shared Dispositive Power: 500,000 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 1,700,000 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 0.6% 14) Type of Reporting Person (See Instructions): OO Page 10 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: MARILYN B. ARISON 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: United States and Israel Number of 7) Sole Voting Power: 516,220 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 516,220 ing Person With 10) Shared Dispositive Power: -0- 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 516,220 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] 13) Percent of Class Represented by Amount in Row (11): 0.2% 14) Type of Reporting Person (See Instructions): IN Page 11 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: MBA I LLC 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: 1,200,000 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 1,200,000 ing Person With 10) Shared Dispositive Power: 500,000 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 1,700,000 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 0.6% 14) Type of Reporting Person (See Instructions): OO Page 12 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: THE CONTINUED TRUST FOR MICKY ARISON 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: 979,504.66 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 979,504.66 ing Person With 10) Shared Dispositive Power: -0- 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 979,504.66 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 0.3% 14) Type of Reporting Person (See Instructions): OO Page 13 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: THE MICKY ARISON HOLDINGS TRUST 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: 3,251,354 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: 3,251,354 ing Person With 10) Shared Dispositive Power: -0- 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 3,251,354 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 1.1% 14) Type of Reporting Person (See Instructions): OO Page 14 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: THE MICKY ARISON 1994 "B" TRUST 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: -0- Shares Bene- ficially 8) Shared Voting Power: 54,957,142 Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 54,957,142 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 54,957,142 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 18.5% 14) Type of Reporting Person (See Instructions): OO Page 15 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: MICKY ARISON 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: United States Number of 7) Sole Voting Power: 3,851,354 Shares Bene- ficially 8) Shared Voting Power: 54,957,142 Owned by Each Report- 9) Sole Dispositive Power: 3,851,354 ing Person With 10) Shared Dispositive Power: 54,957,142 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 58,208,496 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [X] 13) Percent of Class Represented by Amount in Row (11): 19.6% 14) Type of Reporting Person (See Instructions): IN Page 16 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: A.H.W. LIMITED 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Guernsey, Channel Islands Number of 7) Sole Voting Power: -0- Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 3,551,354 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 3,551,354 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 1.2% 14) Type of Reporting Person (See Instructions): CO Page 17 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: ANDREW H. WEINSTEIN 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: United States Number of 7) Sole Voting Power: 15,042,858 Shares Bene- ficially 8) Shared Voting Power: 7,438,514 Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 26,032,726 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 26,032,726 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 8.8% 14) Type of Reporting Person (See Instructions): IN Page 18 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: TAF MANAGEMENT COMPANY 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: -0- Shares Bene- ficially 8) Shared Voting Power: 7,438,514 Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 7,438,514 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 7,438,514 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 2.5% 14) Type of Reporting Person (See Instructions): CO Page 19 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: KENTISH LIMITED 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Isle of Man, United Kingdom Number of 7) Sole Voting Power: 15,042,858 Shares Bene- ficially 8) Shared Voting Power: -0- Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 15,042,858 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 15,042,858 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 5.1% 14) Type of Reporting Person (See Instructions): CO Page 20 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: JMD DELAWARE, INC. 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: -0- Shares Bene- ficially 8) Shared Voting Power: 54,957,142 Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 54,957,142 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 54,957,142 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 18.5% 14) Type of Reporting Person (See Instructions): CO Page 21 CUSIP NO. 143658 10 2 1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons: JAMES M. DUBIN 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] 3) SEC Use Only 4) Source of Funds (See Instructions): Not Applicable 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: United States Number of 7) Sole Voting Power: -0- Shares Bene- ficially 8) Shared Voting Power: 54,957,142 Owned by Each Report- 9) Sole Dispositive Power: -0- ing Person With 10) Shared Dispositive Power: 54,957,142 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 54,957,142 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 18.5% 14) Type of Reporting Person (See Instructions): IN Page 22 The Second Amended and Restated Joint Statement on Schedule 13D, dated April 23, 1996, as amended (the "Schedule 13D"), of TAMMS L.P., TAMMS Corp., Ted Arison, the Michael Arison Continued Trust, the Shari Arison Guernsey Trust, the Shari Arison Continued Trust, the Shari Arison Trust No. 1, Shari Arison, the Marilyn Arison Delaware Trust, Marilyn B. Arison, MBA I LLC, the Micky Arison Continued Trust, the Micky Arison Trust, Micky Arison, A.H.W. Limited, Andrew H. Weinstein, TAF Management and Kentish Limited is hereby amended as follows: ITEM 2. IDENTITY AND BACKGROUND Item 2 is hereby amended by the addition thereto of the following: "The Micky Arison 1994 "B" Trust (the "B Trust") is hereby added as a Reporting Person to the Schedule 13D. The B Trust is a Delaware trust formed for the benefit of Micky Arison and his heirs. The business address of the B Trust is P.O. Box 1347, 1201 N. Market Street, Wilmington, Delaware 19899-1347. The sole trustee of the B Trust is JMD Delaware, Inc. ("JMD Delaware"), a Delaware corporation whose principal purpose is to serve as trustee for certain trusts established for the benefit of members of the Arison family. JMD Delaware is hereby added as a Reporting Person to the Schedule 13D. JMD Delaware is a Delaware corporation whose principal purpose is to serve as trustee for certain trusts established for the benefit of members of the Arison family. The business address of JMD Delaware is P.O. Box 1347, 1201 N. Market Street, Wilmington, Delaware 19899-1347. Page 23 The executive officers of JMD Delaware are: James M. Dubin, Chairman, President and Trust Officer; Jonathan R. Bell, Vice President, Treasurer and Trust Officer; Denison H. Hatch, Jr., Vice President, Secretary and Trust Officer; Johannes R. Krahmer, Vice President, Assistant Treasurer and Trust Officer; and Walter C. Tuthill, Vice President and Trust Officer. The directors of JMD Delaware are James M. Dubin, Denison H. Hatch, Jr. and Walter C. Tuthill. The sole stockholder of JMD Delaware is James M. Dubin. Each of Messrs. Dubin and Bell is an Attorney-at-Law at Paul, Weiss, Rifkind, Wharton & Garrison, 1285 Avenue of the Americas, New York, New York 10019. Each of Messrs. Hatch, Krahmer and Tuthill is an Attorney-at-Law at Morris, Nichols, Arsht & Tunnell, P.O. Box 1347, 1201 N. Market Street, Wilmington, Delaware 19899-1347. Each of Messrs. Dubin, Bell, Hatch, Krahmer and Tuthill is a United States citizen. James M. Dubin is hereby added as a Reporting Person to the Schedule 13D. Mr. Dubin is the sole stockholder of JMD Delaware, a Delaware corporation whose principal purpose is to serve as trustee for certain trusts established for the benefit of members of the Arison family." ITEM 4. PURPOSE OF TRANSACTION. Item 4 is hereby amended by the addition thereto of the following: "Since the last report, the Reporting Persons have disposed of 500,000 shares of Class A Common Stock and acquired 54,957,142 shares of Class A Common Stock. This was accomplished by: (a) the contribution by TAF Management Company, as Trustee for the Continued Trust for Micky Arison, of 500,000 shares of Class A Common Stock to the Greene Street Exchange Fund, L.P. Page 24 on June 5, 1997; and (b) the conversion by JMD Delaware, as Trustee for the B Trust, of 54,957,142 shares of Class B Common Stock, par value $.01 per share, of Carnival Corporation ("Class B Common Stock") into an equal number of shares of Class A Common Stock on July 15, 1997. Prior to July 1, 1997, the B Trust had been restricted from converting such shares under a stockholders agreement with the Issuer. Prior to the conversion of the Class B Common Stock, the B Trust was the controlling stockholder of the Issuer. Also, prior to the conversion of the Class B Common Stock, the holders of Class B Common Stock had the power to elect 75% of the directors of the Issuer and the Class B Common Stock held five votes per share (as opposed to one vote per share for the Class A Common Stock) for all other voting matters. As a result of the conversion of the Class B Common Stock, (i) there are no remaining shares of Class B Common Stock outstanding, (ii) all holders of Class A Common Stock (including the B Trust) vote as a class in all elections for directors, and (iii) all shares of Class A Common Stock (including the shares held by the B Trust) will have one vote per share for all other voting matters. None of the Reporting Persons has any current plans to change the management or operations of the Issuer." ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Item 5 is hereby amended by the addition thereto of the following: "On June 5, 1997, TAF Management, as Trustee for the Micky Arison Continued Trust, contributed 500,000 shares of Class A Common Stock to the Greene Street Exchange Fund, L.P. On July 15, 1997, JMD Delaware, as Trustee for the B Page 25 Trust, exercised its right to convert 54,957,142 shares of Class B Common Stock into an equal number of shares of Class A Common Stock. The foregoing transactions are referred to herein as the "June/July Transactions." Following the June/July Transactions, the Micky Arison Continued Trust beneficially owns 979,504.66 shares of Class A Common Stock (approximately 0.3% of the total number of shares of Class A Common Stock (after giving effect to the conversion of the Class B Common Stock) reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending May 31, 1997 to be outstanding as of July 11, 1997) all of which it holds directly. The Micky Arison Continued Trust has sole voting power and dispositive power with respect to the 979,504.66 shares of Class A Common Stock that it holds directly. Following the June/July Transactions, the B Trust beneficially owns 54,957,142 shares of Class A Common Stock (approximately 18.5% of the total number of shares of Class A Common Stock (after giving effect to the conversion of the Class B Common Stock) reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending May 31, 1997 to be outstanding as of July 11, 1997) all of which it holds directly. The B Trust has shared voting power and dispositive power with respect to the 54,957,142 shares of Class A Common Stock that it holds directly. Following the June/July Transactions, Micky Arison beneficially owns an aggregate of 58,808,496 shares of Class A Common Stock (approximately 19.6% of the total number of shares of Class A Common Stock (after giving effect to the conversion of the Class B Common Stock) reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending May 31, 1997 to be outstanding as of July 11, Page 26 1997), 600,000 shares of which are underlying vested options which he holds directly, 3,251,354 shares of which he owns beneficially by virtue of the interest and authority granted to him under the trust instrument for the Micky Arison Trust and 54,957,142 shares with respect to which he shares beneficial interest by virtue of the interest and authority granted to him under the trust instrument for the B Trust. Micky Arison has sole voting power and dispositive power with respect to the 3,251,354 shares of Class A Common Stock held by the Micky Arison Trust and shares voting power and dispositive power with respect to the 54,957,142 shares of Class A Common Stock held by the B Trust. Because of his status as President and Treasurer of TAMMS Corp., Micky Arison may be deemed to share voting power with respect to the 1,826,583.34 shares of Class A Common Stock beneficially owned by TAMMS L.P. Micky Arison disclaims beneficial ownership of the 1,826,583.34 shares of Class A Common Stock owned by TAMMS L.P. which are beneficially owned by the partners of TAMMS L.P. Accordingly, Micky Arison has not reported beneficial ownership of any of the shares of Class A Common Stock held by TAMMS L.P. Following the June/July Transactions, TAF Management beneficially owns an aggregate of 7,438,514 shares of Class A Common Stock (approximately 2.5% of the total number of shares of Class A Common Stock reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending May 31, 1997 to be outstanding as of July 11, 1997), by virtue of being the trustee of the Michael Arison Continued Trust, the Shari Arison Continued Trust, the Micky Arison Continued Trust and the Marilyn Arison Delaware Trust. TAF Management may be deemed to share voting and dispositive power with respect to all such shares of Class A Page 27 Common Stock. TAF Management disclaims beneficial ownership of all such shares of Class A Common Stock. Following the June/July Transactions, Andrew H. Weinstein beneficially owns an aggregate of 26,032,726 shares of Class A Common Stock (approximately 8.8% of the total number of shares of Class A Common Stock (after giving effect to the conversion of the Class B Common Stock) reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending May 31, 1997 to be outstanding as of July 11, 1997), by virtue of being the the sole shareholder of (i) A.H.W. Limited, the trustee of the Shari Arison Guernsey Trust, (ii) TAF Management, the trustee of the Michael Arison Continued Trust, the Shari Arison Continued Trust, the Micky Arison Continued Trust and the Marilyn Arison Delaware Trust, and (iii) Kentish Limited, the protector of the Shari Arison Trust No. 1. As such, Mr. Weinstein may be deemed to share voting and dispositive power with respect to all of the shares of Class A Common Stock held by the trusts listed in clauses (i) and (ii) above and to have sole voting power and shared dispositive power with respect to the shares of Class A Common Stock held by the trust listed in clause (iii) above. Mr. Weinstein disclaims beneficial ownership of all such shares of Class A Common Stock. Following the June/July Transactions, JMD Delaware beneficially owns an aggregate of 54,957,142 shares of Class A Common Stock (approximately 18.5% of the total number of shares of Class A Common Stock (after giving effect to the conversion of the Class B Common Stock) reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending May 31, 1997 to be outstanding as of July 11, 1997), by virtue of being the trustee of the B Trust. JMD Delaware may be deemed Page 28 to share voting and dispositive power with respect to all such shares of Class A Common Stock. JMD Delaware disclaims beneficial ownership of all such shares of Class A Common Stock. Following the June/July Transactions, James M. Dubin beneficially owns an aggregate of 54,957,142 shares of Class A Common Stock (approximately 18.5% of the total number of shares of Class A Common Stock (after giving effect to the conversion of the Class B Common Stock) reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending May 31, 1997 to be outstanding as of July 11, 1997), by virtue of being the sole shareholder of JMD Delaware, the trustee of the B Trust. Mr. Dubin may be deemed to share voting and dispositive power with respect to all such shares of Class A Common Stock. Mr. Dubin disclaims beneficial ownership of all such shares of Class A Common Stock The Reporting Persons, as a group, beneficially own an aggregate of 140,550,458 shares of Class A Common Stock (approximately 47.3% of the total number of shares of Class A Common Stock (after giving effect to the conversion of the Class B Common Stock) reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending May 31, 1997 to be outstanding as of July 11, 1997). The Reporting Persons, as a group, have sole voting and dispositive power over such shares of Class A Common Stock. Other than the Reporting Persons, no person has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of these shares of Class A Common Stock. Except for the June/July Transactions, the Reporting Persons have effected no transactions in shares of Class A Common Stock during the past 60 days." Page 29 ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. Item 7 is hereby amended by the addition thereto of the following: Exhibit 12 Joint Filing Agreement, dated as of August 4, 1997, among TAMMS L.P., TAMMS Corp., Ted Arison, the Michael Arison Continued Trust, the Shari Arison Irrevocable Trust, the Shari Arison Continued Trust, the Shari Arison Trust No. 1, Shari Arison, the Marilyn Arison Delaware Trust, Marilyn B. Arison, MBA I LLC, the Micky Arison Continued Trust, the Micky Arison Trust, the B Trust, Micky Arison, A.H.W. Limited, Andrew H. Weinstein, TAF Management, Kentish Limited, JMD Delaware and James M. Dubin. Page 30 SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: August 4, 1997 TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP By: TAMMS MANAGEMENT CORPORATION, MANAGING GENERAL PARTNER By: /s/ Micky Arison ------------------------------ Micky Arison, President TAMMS MANAGEMENT CORPORATION By: /s/ Micky Arison ------------------------------ Micky Arison, President /s/ Ted Arison - ------------------------------ Ted Arison CONTINUED TRUST FOR MICHAEL ARISON, TAF MANAGEMENT COMPANY, TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer of Corporate Trustee SHARI ARISON IRREVOCABLE GUERNSEY TRUST, A.H.W. LIMITED, TRUSTEE By: /s/ R.J. Banfield ------------------------------ R.J. Banfield, Director CONTINUED TRUST FOR SHARI ARISON DORSMAN, TAF MANAGEMENT COMPANY, TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer of Corporate Trustee TED ARISON 1994 IRREVOCABLE TRUST FOR SHARI NO. 1, CITITRUST (JERSEY) LIMITED, TRUSTEE /s/ Debbie Masters By: /s/ Rob Vincent ------------------------------ Debbie Masters, Director Rob Vincent, Asst. Secretary /s/Shari Arison - ------------------------------ Shari Arison MARILYN B. ARISON IRREVOC ABLE DELAWARE TRUST, TAF MANAGEMENT COMPANY, TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer of Corporate Trustee Page 31 /s/ Marilyn B. Arison - ------------------------------ Marilyn B. Arison MBA I LLC By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Executive Vice President, Secretary and Treasurer of Corporate Trustee CONTINUED TRUST FOR MICKY ARISON, TAF MANAGEMENT COMPANY, TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer of Corporate Trustee MICKY ARISON HOLDINGS TRUST, JMD DELAWARE, INC., TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary of Corporate Trustee MICKY ARISON 1994 "B" TRUST, JMD DELAWARE, INC., TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary of Corporate Trustee /s/ Micky Arison - ------------------------------ Micky Arison A.H.W. LIMITED By: /s/ R.J. Banfield ------------------------------ R.J. Banfield, Director /s/ Andrew H. Weinstein - ------------------------------ Andrew H. Weinstein TAF MANAGEMENT COMPANY By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer KENTISH LIMITED By: /s/ Philip Scales ------------------------------ Philip Scales JMD DELAWARE, INC. By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary By: /s/ James M. Dubin ------------------------------ James M. Dubin Page 32 INDEX TO EXHIBITS Exhibits - -------- 12 Joint Filing Agreement, dated as of August 4, 1997, among TAMMS L.P., TAMMS Corp., Ted Arison, the Michael Arison Continued Trust, the Shari Arison Irrevocable Trust, the Shari Arison Continued Trust, the Shari Arison Trust No. 1, Shari Arison, the Marilyn Arison Delaware Trust, Marilyn B. Arison, MBA I LLC, the Micky Arison Continued Trust, the Micky Arison Trust, the B Trust, Micky Arison, A.H.W. Limited, Andrew H. Weinstein, TAF Management, Kentish Limited, JMD Delaware and James M. Dubin. Page 33 EX-12 2 JOINT FILING AGREEMENT EXHIBIT 12 JOINT FILING AGREEMENT ---------------------- In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of an amendment or amendments to the Second Amended and Restated Joint Statement on Schedule 13D dated April 23, 1996. This Joint Filing Agreement shall be included as an Exhibit to such joint filing. In evidence thereof, each of the undersigned, being duly authorized, hereby executed this Agreement this 4th day of August, 1997. TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP By: TAMMS MANAGEMENT CORPORATION, MANAGING GENERAL PARTNER By: /s/ Micky Arison ------------------------------ Micky Arison, President TAMMS MANAGEMENT CORPORATION By: /s/ Micky Arison ------------------------------ Micky Arison, President /s/ Ted Arison - ------------------------------ Ted Arison CONTINUED TRUST FOR MICHAEL ARISON, TAF MANAGEMENT COMPANY, TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer of Corporate Trustee SHARI ARISON IRREVOCABLE GUERNSEY TRUST, A.H.W. LIMITED, TRUSTEE By: /s/ R.J. Banfield ------------------------------ R.J. Banfield, Director CONTINUED TRUST FOR SHARI ARISON DORSMAN, TAF MANAGEMENT COMPANY, TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer of Corporate Trustee TED ARISON 1994 IRREVOCABLE TRUST FOR SHARI NO. 1, CITITRUST (JERSEY) LIMITED, TRUSTEE /s/ Debbie Masters By: /s/ Rob Vincent ------------------------------ Debbie C. Masters, Director Rob Vincent, Asst. Secretary /s/ Shari Arison - ------------------------------ Shari Arison Page 34 MARILYN B. ARISON IRREVOC ABLE DELAWARE TRUST, TAF MANAGEMENT COMPANY, TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer of Corporate Trustee /s/ Marilyn B. Arison - ------------------------------ Marilyn B. Arison MBA I LLC By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Executive Vice President, Secretary and Treasurer of Corporate Trustee CONTINUED TRUST FOR MICKY ARISON, TAF MANAGEMENT COMPANY, TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer of Corporate Trustee MICKY ARISON 1994 "B" TRUST, JMD DELAWARE, INC., TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary of Corporate Trustee MICKY ARISON HOLDINGS TRUST, JMD DELAWARE, INC., TRUSTEE By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary of Corporate Trustee /s/ Micky Arison - ------------------------------ Micky Arison A.H.W. LIMITED By: /s/ R.J. Banfield ------------------------------ R.J. Banfield, Director /s/ Andrew H. Weinstein - ------------------------------ Andrew H. Weinstein TAF MANAGEMENT COMPANY By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary and Treasurer KENTISH LIMITED By: /s/ Philip Scales ------------------------------ Philip Scales, Director JMD DELAWARE, INC. By: /s/ Denison H. Hatch, Jr. ------------------------------ Denison H. Hatch, Jr. Secretary By: /s/ James M. Dubin ------------------------------ James M. Dubin Page 35 -----END PRIVACY-ENHANCED MESSAGE-----