-----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, NReImq5HOZLOVJ6p+fEMFykH4zVv1/mJZh4B1dBfkiZhfV7D4kvEkoy2MWpBJYmd PgH84FCr/VHML7DPTq6Qeg== 0001047469-04-035436.txt : 20041130 0001047469-04-035436.hdr.sgml : 20041130 20041130150153 ACCESSION NUMBER: 0001047469-04-035436 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20041130 DATE AS OF CHANGE: 20041130 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 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-39580 FILM NUMBER: 041174455 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITIGROUP INC CENTRAL INDEX KEY: 0000831001 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 521568099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10043 BUSINESS PHONE: 2125591000 MAIL ADDRESS: STREET 1: 399 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10043 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS GROUP INC DATE OF NAME CHANGE: 19950519 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS INC DATE OF NAME CHANGE: 19940103 FORMER COMPANY: FORMER CONFORMED NAME: PRIMERICA CORP /NEW/ DATE OF NAME CHANGE: 19920703 SC 13G 1 a2147361zsc13g.txt SC 13G \ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.______)* Carnival Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per Share of Carnival Corporation Special Voting Share of Carnival plc Trust Shares, representing beneficial interest in the P&O Princess Special Voting Trust - -------------------------------------------------------------------------------- (Title of Class of Securities) Common Stock 143658-10-2 and 143658-30-0 Special Voting Share: G7214F-12-2 Trust Shares: 143658-30-0 -------------------------------------------------------- (CUSIP Number) November 23, 2004 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) /X/ Rule 13d-1(c)** / / Rule 13d-1(d) * 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 the disclosures provided in a prior cover page. The information required in 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). ** The Reporting Persons filed a Schedule 13D on November 23, 2004 related to (i) Common Stock of Carnival Corporation, (ii) Special Voting Share of Carnival plc and (iii) Trust Shares representing beneficial interest in the P&O Princess Special Voting Trust. References to "Carnival Shares" in this Schedule 13G are to the shares of Carnival Corporation Common Stock together with the paired Trust Shares. This Schedule 13G is not being filed to report any material change in the Reporting Persons' beneficial ownership of the Carnival Shares since their last Schedule 13D filing. This Schedule 13G is being filed solely to reflect this change in the Reporting Persons' filing status. Page 1 of 7 Pages SCHEDULE 13G CUSIP NO. Common Stock: 143658-10-2 and 143658-30-0 Page 2 of 7 Pages Special Voting Share G7214F-12-2 Trust Shares: 143658-30-0 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Smith Barney Corporate Trust Company - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 14,700 OWNED BY ---------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------- PERSON (8) SHARED DISPOSITIVE POWER 71,802,225 WITH: - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 71,802,225 - ------------------------------------------------------------------------------- (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.3% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 00 - ------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. Common Stock: 143658-10-2 and 143658-30-0 Page 3 of 7 Pages Special Voting Share G7214F-12-2 Trust Shares: 143658-30-0 - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Citigroup Inc. - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 0 SHARES ---------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 6,187,186* OWNED BY ---------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------- PERSON (8) SHARED DISPOSITIVE POWER 77,974,711* WITH: - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 77,974,711* - ------------------------------------------------------------------------------- (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 12.3% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) HC - ------------------------------------------------------------------------------- * Includes shares held by other reporting persons. As described above, the Reporting Persons filed a Schedule 13D on November 23, 2004 related to (i) Common Stock of Carnival Corporation, (ii) Special Voting Share of Carnival plc and (iii) Trust Shares representing beneficial interest in the P&O Princess Special Voting Trust. References to "Carnival Shares" in this Schedule 13G are to the shares of Carnival Corporation Common Stock together with the paired Trust Shares. Pursuant to Rule 13d-1(c), the Reporting Persons qualify to report their beneficial ownership of the Carnival Shares on Schedule 13G. This Schedule 13G is being filed solely to reflect this change in the Reporting Persons' filing status and is not being filed to report any material change in the Reporting Persons' beneficial ownership of Carnival Shares since their last Schedule 13D filing. Item 1(a). Name of Issuer: Carnival Corporation Item 1(b). Address of Issuer's Principal Executive Offices: 3655 N.W. 87th Avenue Miami, FL 33178-2428 Item 2(a). Name of Person Filing: Smith Barney Corporate Trust Company ("SB Corporate Trust") Citigroup Inc. ("Citigroup") Item 2(b). Address of Principal Office or, if none, Residence: The address of the principal office of SB Corporate Trust is: 824 Market Street Wilmington, DE 19801 The address of the principal office of Citigroup is: 399 Park Avenue New York, NY 10043 Item 2(c). Citizenship or Place of Organization: Each of SB Corporate Trust and Citigroup is a Delaware corporation. Item 2(d). Title of Class of Securities: Common Stock Special Voting Share Trust Shares Item 2(e). CUSIP Number: 143658-10-2 and 143658-30-0 G7214F-12-2 143658-30-0 Page 4 of 7 Pages Item 3. If This Statement Is Filed Pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing Is a(n): (a) [ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o); (b) [ ] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); (c) [ ] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) [ ] Investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) [ ] Employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [ ] Parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G): See Exhibit 2; (h) [ ] Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3) (j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). Item 4. Ownership. (as of November 22, 2004)* (a) Amount beneficially owned: See item 9 of cover pages (b) Percent of class: See item 11 of cover pages (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: (ii) Shared power to vote or to direct the vote: (iii) Sole power to dispose or to direct the disposition of: (iv) Shared power to dispose or to direct the disposition of: See Items 5-8 of cover pages * The ownership calculations in Item 4 are based upon the holdings of the Reporting Persons and the number of Carnival Shares outstanding at such time, 633,273,375, as indicated in SEC Form 10-Q filed by Carnival on October 7, 2004. Page 5 of 7 Pages Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. Citigroup is the sole member of SB Corporate Trust. Item 8. Identification and Classification of Members of the Group. Not Applicable. Item 9. Notice of Dissolution of Group. Not Applicable. Page 6 of 7 Pages Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: November 30, 2004 SMITH BARNEY CORPORATE TRUST COMPANY By: /s/ Marianne Quinn -------------------------------------------- Name: Marianne Quinn Title: Senior Vice President CITIGROUP INC. By: /s/ Serena D. Moe -------------------------------------------- Name: Serena D. Moe Title: Assistant Secretary Page 7 of 7 Pages EXHIBIT INDEX TO SCHEDULE 13G ----------------------------- EXHIBIT 1 - --------- Agreement between SB Corporate Trust and Citigroup as to joint filing of Schedule 13G EX-99.1 2 a2147361zex-99_1.txt EXHIBIT 99.1 EXHIBIT 1 --------- AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G -------------------------------------------- Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. Dated: November 30, 2004 SMITH BARNEY CORPORATE TRUST COMPANY By: /s/ Marianne Quinn -------------------------------------------- Name: Marianne Quinn Title: Senior Vice President CITIGROUP INC. By: /s/ Serena D. Moe -------------------------------------------- Name: Serena D. Moe Title: Assistant Secretary -----END PRIVACY-ENHANCED MESSAGE-----