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CARNIVAL CORP — Director's Dealing 2011
Feb 24, 2011
30070_dirs_2011-02-24_5089063f-a0db-41cb-8dbf-16501724cb4c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CARNIVAL CORP (CCL)
CIK: 0000815097
Period of Report: 2011-02-22
Reporting Person: RATCLIFFE PETER GERVIS (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-02-22 | Common Stock | C | 10000 | — | Acquired | 10000 | Direct |
| 2011-02-22 | Common Stock | C | 20000 | — | Acquired | 30000 | Direct |
| 2011-02-22 | Common Stock | A | 908 | — | Acquired | 30908 | Direct |
| 2011-02-22 | Common Stock | A | 1107 | — | Acquired | 32015 | Direct |
| 2011-02-22 | Common Stock | S | 30000 | $42.3754 | Disposed | 2015 | Direct |
| 2011-02-23 | Common Stock | S | 2015 | $41.3915 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-02-22 | Restricted Stock Units | $0 | C | 10000 | Disposed | Common Stock (10000) | Direct | |
| 2011-02-22 | Restricted Stock Units | $0 | C | 20000 | Disposed | Common Stock (20000) | Direct |
Footnotes
F1: Represents shares released from restriction from a Restricted Stock Unit award granted in 2006.
F2: Represents shares released from restriction from a Restricted Stock Unit award granted in 2008.
F3: Represents settlement of dividend equivalents accumulated during the restricted period of restricted stock unit awards originally granted in 2006 and 2008, which have now been released.
F4: This transaction was executed in multiple trades at prices ranging from $42.23 to $42.69. 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.
F5: This transaction was executed in multiple trades at prices ranging from $41.39 to $41.3926. 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.
F6: Restricted stock units either vest or are forfeited therefore there is no expiration date.