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CCL Carnival Corp

16.08
1.08 (7.20%)
21 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Carnival Corp NYSE:CCL NYSE Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  1.08 7.20% 16.08 16.24 15.31 15.39 53,286,431 01:00:00

Statement of Changes in Beneficial Ownership (4)

13/04/2020 9:20pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

KRUSE STEIN
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)
CEO, Holland America Group
(Last)          (First)          (Middle)

CARNIVAL CORPORATION, 3655 NW 87TH AVE
3. Date of Earliest Transaction (MM/DD/YYYY)

4/9/2020
(Street)

MIAMI, FL 33178
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
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
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 4/9/2020  A(1)  17186 (2)A$12.42 101992.728 (3)D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) The grant, which reflects the reporting person voluntarily deferring their salary for April to June 2020 in the form of restricted stock units ("RSUs") as described in FN2, 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.
(2) Issued pursuant to the Carnival Corporation 2020 Stock Plan. The restriction on the RSUs lapses on February 12, 2021.
(3) Includes shares acquired pursuant to the purchase under, or the dividend reinvestment feature of, the Carnival Corporation Employee Stock Purchase Plan or brokerage account.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
KRUSE STEIN
CARNIVAL CORPORATION
3655 NW 87TH AVE
MIAMI, FL 33178


CEO, Holland America Group

Signatures
/s/ Stein Kruse4/13/2020
**Signature of Reporting PersonDate

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