Statement of Changes in Beneficial Ownership (4)
January 21 2021 - 01:09PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Anderson Peter
C. |
2. Issuer Name and Ticker or Trading
Symbol CARNIVAL CORP [ CCL ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Chief Ethics & Compliance |
(Last)
(First)
(Middle)
CARNIVAL CORPORATION, 3655 N.W. 87TH AVENUE |
3. Date of Earliest Transaction (MM/DD/YYYY)
1/19/2021
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(Street)
MIAMI, FL 33178
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
1/19/2021 |
|
A(1) |
|
14374 (2) |
A |
$0 |
75868 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
Grant of restricted stock
units ("RSUs") made pursuant to the Carnival Corporation 2020 Stock
Plan. Grant of RSUs represent a hypothetical interest in Carnival
Corporation common stock. The RSUs will vest on a 3-year pro-rata
basis on the anniversary dates of the grant. The RSUs will
accumulate dividend equivalents and may only be settled in
shares. |
(2) |
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. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Anderson Peter C.
CARNIVAL CORPORATION
3655 N.W. 87TH AVENUE
MIAMI, FL 33178 |
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|
Chief Ethics & Compliance |
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Signatures
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/s/ Peter C. Anderson |
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1/21/2021 |
**Signature of Reporting
Person |
Date |