CARNIVAL CORP — Director's Dealing 2020

Dec 9, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: CARNIVAL CORP (CCL)
CIK: 0000815097
Period of Report: 2020-12-01

Reporting Person: Anderson Peter C. (Chief Ethics & Compliance)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	63147	Direct

Footnotes

F1: Grant of 5,780 restricted stock units ("RSUs") on January 17, 2020, made pursuant to the Carnival Corporation 2011 Stock Plan. Award of RSUs represent a hypothetical interest in Carnival Corporation common stock. The RSUs will vest on January 17, 2023.

F2: Grant of 10,667 RSUs on April 9, 2020, which reflects the reporting person voluntarily deferring their salary for April to June 2020 was approved by the Compensation Committee. The number of RSUs was determined by dividing the deferred salary by the closing price of a share of Carnival Corporation common stock on April 9, 2020, then rounding down to the nearest whole share. The restriction on the RSUs lapses on February 12, 2021. Issued pursuant to the Carnival Corporation 2020 Stock Plan.

F3: Grant of 23,350 retention RSUs on August 28, 2020, represents a hypothetical interest in Carnival Corporation common stock. The RSUs will vest every 6 months on a 25% pro-rata basis beginning in January 2021. Issued pursuant to the Carnival Corporation 2020 Stock Plan.

F4: Grant of 23,350 special RSUs on August 28, 2020 represents a hypothetical interest in Carnival Corporation common stock. The RSUs will vest on February 6, 2023. Issued pursuant to the Carnival Corporation 2020 Stock Plan.