0001127602-17-002009.txt : 20170119 0001127602-17-002009.hdr.sgml : 20170119 20170119143705 ACCESSION NUMBER: 0001127602-17-002009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170117 FILED AS OF DATE: 20170119 DATE AS OF CHANGE: 20170119 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: 17535654 MAIL ADDRESS: STREET 1: 3655 NW 87TH AVE CITY: MIAMI STATE: FL ZIP: 33156 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2017-01-17 0000815097 CARNIVAL CORP CCL 0001280888 BUCKELEW ALAN CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 Chief Information Officer Common Stock 2017-01-17 4 A 0 14362 0 A 195128.3084 D Common Stock 2017-01-17 4 F 0 5493 53.09 D 189635.3084 D Common Stock 2017-01-17 4 S 0 9273 52.9511 D 180362.3084 D Grant of restricted stock units ("RSUs") made pursuant to the Carnival Corporation 2011 Stock Plan. Award of RSUs represent a hypothetical interest in Carnival Corporation common stock. The restriction on the RSUs lapse on the second anniversary of the grant date. The RSUs will accumulate dividend equivalents and may only be settled in shares. The grant was approved by the Compensation Committee as a total value to be received in the form of RSUs. The Compensation Committee also approved that the number of RSUs were determined by dividing the value by the closing price on date of grant. Represents a surrender of shares to satisfy a tax obligation on the vesting of the RSUs. 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. /s/ Alan B. Buckelew 2017-01-19