CARNIVAL CORP — Director's Dealing 2021

Mar 9, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: CARNIVAL CORP (CCL)
CIK: 0000815097
Period of Report: 2021-03-01

Reporting Person: MIGUEZ ENRIQUE (General Counsel)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	48665	Direct

Footnotes

F1: Includes grant of 4,118 restricted stock units ("RSUs") on January 14, 2019, 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 14, 2022. The 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 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.

F2: Includes grant of 3,853 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. The 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 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.

F3: Includes grant of 25,700 RSUs on August 28, 2020, which represent a hypothetical interest in Carnival Corporation common stock. The RSUs vested 62.5% on January 14, 2021 with the balance vesting 12.5% every 6 months beginning in July 2021. Issued pursuant to the Carnival Corporation 2020 Stock Plan.

F4: Includes grant of 10,541 RSUs on January 19, 2021, made pursuant to the Carnival Corporation 2020 Stock Plan. The 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. 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.