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CARNIVAL CORP — Director's Dealing 2014
Mar 26, 2014
30070_dirs_2014-03-26_9e5439b7-34aa-4359-9605-2d658a9c6616.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: 2014-03-24
Reporting Person: ARISON MICKY MEIR (Director, Chairman of the Board, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-24 | Common Stock | S | 56569 | $40.0894 | Disposed | 408917 | Indirect |
| 2014-03-24 | Common Stock | S | 304954 | $40.0894 | Disposed | 97940860 | Indirect |
| 2014-03-24 | Common Stock | S | 163825 | $40.0894 | Disposed | 4218590 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1954324 | Indirect |
Footnotes
F1: These shares were sold pursuant to a Rule 10b5-1(c) sales plan dated February 28, 2014, relating to the sale of up to 5,000,000 shares of Carnival Corporation Common Stock.
F2: The transaction was executed in multiple trades at prices ranging from $40.03 to $40.20. The price reported above reflects the weighted average purchase prices on the dates indicated. 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 transactions were effected.
F3: The transaction was executed in multiple trades at prices ranging from $40.03 to $40.20. The price reported above reflects the weighted average purchase prices on the dates indicated. 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 transactions were effected.
F4: The transaction was executed in multiple trades at prices ranging from $40.03 to $40.20. The price reported above reflects the weighted average purchase prices on the dates indicated. 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 transactions were effected.
F5: Includes (i) 442,307 shares of Carnival Corporation Common Stock held by the Nickel 2009 GRAT; (ii) 756,008 shares of Carnival Corporation Common Stock held by the NA 2008 Trust; and (iii) 756,009 shares of Carnival Corporation Common Stock held by the KA 2008 Trust. The Reporting Person disclaims beneficial ownership of the shares of Carnival Corporation Common Stock held by the NA 2008 Trust and the KA 2008 Trust.