0001127602-17-000026.txt : 20170103 0001127602-17-000026.hdr.sgml : 20170103 20170103115453 ACCESSION NUMBER: 0001127602-17-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161229 FILED AS OF DATE: 20170103 DATE AS OF CHANGE: 20170103 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: BUCKELEW ALAN CENTRAL INDEX KEY: 0001280888 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09610 FILM NUMBER: 17500858 MAIL ADDRESS: STREET 1: 3655 NW 87TH AVE CITY: MIAMI STATE: FL ZIP: 33156 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-12-29 0000815097 CARNIVAL CORP CCL 0001280888 BUCKELEW ALAN CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 Chief Operations Officer Common Stock 2016-12-29 4 A 0 121329 0 A 241430.3084 D Common Stock 2016-12-29 4 S 0 60664 52.11 D 180766.3084 D 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 dividend reinvestment feature of the reporting person's brokerage account. /s/ Alan B. Buckelew 2017-01-03