1 |
Details of the person
discharging managerial responsibilities/person closely
associated |
a) |
Name |
Arnold W. Donald |
2 |
Reason for the
notification |
a) |
Position/status |
President & Chief
Executive Officer of Carnival Corporation & plc / Director |
b) |
Initial notification/
Amendment |
Initial
Notification |
3 |
Details of the
issuer, emission allowance market participant, auction platform,
auctioneer or auction monitor |
a) |
Name |
Carnival
Corporation |
b) |
Legal Entity Identifier |
F1OF2ZSX47CR0BCWA982 |
4A |
Details of the
transaction: 1 |
a) |
Description of the
financial instrument, type of instrument
Identification code |
Common
stock with a nominal value of US$0.01 per share
CUSIP: 143658300 |
b) |
Nature of the transaction |
Represents a surrender
of shares to satisfy the tax obligation on the vesting of a
Restricted Stock Award previously reported. |
c) |
Price(s) and
volume(s) |
Price(s)
$50.9086 |
Volume(s)
13,620 |
d) |
Aggregated
information
- Aggregated volume
- Price |
13,620
$50.9086 |
e) |
Date of the transaction |
2020-01-16 |
f) |
Place of the transaction |
Off Market |
4B |
Details of the
transaction: 2 |
a) |
Description of the
financial instrument, type of instrument
Identification code |
Common
stock with a nominal value of US$0.01 per share
CUSIP: 143658300 |
b) |
Nature of the transaction |
Represents a surrender
of shares to satisfy the tax obligation on the vesting of a
Restricted Stock Award previously reported. |
c) |
Price(s) and
volume(s) |
Price(s)
$51.8148 |
Volume(s)
13,264 |
d) |
Aggregated
information
- Aggregated volume
- Price |
13,264
$51.8148 |
e) |
Date of the transaction |
2020-01-17 |
f) |
Place of the transaction |
Off Market |
4C |
Details of the
transaction: 3 |
a) |
Description of the
financial instrument, type of instrument
Identification code |
Common
stock with a nominal value of US$0.01 per share
CUSIP: 143658300 |
b) |
Nature of the transaction |
Grant of
restricted stock units ("MTE RSUs") made pursuant to the Carnival
Corporation 2011 Stock Plan. Award of RSUs represent a hypothetical
interest in Carnival Corporation common stock. The MTE RSUs will
vest 50% as of January 17, 2020 due to the Reporting Person
becoming eligible for retirement due to his age and 50% as of
January 17, 2022. The MTE 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 MTE RSUs. The Compensation
Committee also approved that the number of MTE RSUs were determined
by dividing the value by the closing price on date of grant. |
c) |
Price(s) and
volume(s) |
Price(s)
$0.00 |
Volume(s)
21,676 |
d) |
Aggregated
information
- Aggregated volume
- Price |
21,676
$0.00 |
e) |
Date of the transaction |
2020-01-17 |
f) |
Place of the transaction |
Off Market |
4D |
Details of the
transaction: 4 |
a) |
Description of the
financial instrument, type of instrument
Identification code |
Common
stock with a nominal value of US$0.01 per share
CUSIP: 143658300 |
b) |
Nature of the transaction |
Automatic vesting of
restricted stock units (including dividend equivalents accumulated
thereto during the restricted period) on January 17, 2020 as a
result of the Reporting Person becoming eligible for retirement due
to his age. |
c) |
Price(s) and
volume(s) |
Price(s)
$51.90 |
Volume(s)
10,838 |
d) |
Aggregated
information
- Aggregated volume
- Price |
10,838
$51.90 |
e) |
Date of the transaction |
2020-01-17 |
f) |
Place of the transaction |
Off Market |
4E |
Details of the
transaction: 5 |
a) |
Description of the
financial instrument, type of instrument
Identification code |
Common
stock with a nominal value of US$0.01 per share
CUSIP: 143658300 |
b) |
Nature of the transaction |
Represents a surrender
of shares to satisfy the tax obligation on the vesting of
restricted stock units released on January 17, 2020 as a result of
the Reporting Person becoming eligible for retirement due to his
age. |
c) |
Price(s) and
volume(s) |
Price(s)
$51.90 |
Volume(s)
8,530 |
d) |
Aggregated
information
- Aggregated volume
- Price |
8,530
$51.90 |
e) |
Date of the transaction |
2020-01-17 |
f) |
Place of the transaction |
Off Market |
4F |
Details of the
transaction: 6 |
a) |
Description of the
financial instrument, type of instrument
Identification code |
Common
stock with a nominal value of US$0.01 per share
CUSIP: 143658300 |
b) |
Nature of the transaction |
Grant of shareholder
equity alignment restricted stock units (“SEA RSUs”) pursuant to
the Carnival Corporation 2011 Stock Plan. Each SEA RSU
represents one share of Carnival Corporation common stock.
The SEA RSUs vest as a percentage of the target number granted
based on achievement of pre-defined goals. Each holder of SEA RSUs
may earn 0%-300% of the stated target amount of SEA RSUs based on
the compound annual growth rate of absolute total shareholder
return over the 2020-2022 fiscal years’ period, which is then
modified from 33%-150% by Carnival Corporation’s ranking relative
to the compound annual growth rate of the total shareholder return
of Carnival Corporation & plc’s proxy peer group, for the same
period. The overall potential earned value is capped at 6
times the grant date target value. |
c) |
Price(s) and
volume(s) |
Price(s)
$0.00 |
Volume(s)
50,000 |
d) |
Aggregated
information
- Aggregated volume
- Price |
50,000
$0.00 |
e) |
Date of the transaction |
2020-01-17 |
f) |
Place of the transaction |
Off Market |