1
|
Details
of the person discharging managerial responsibilities/person closely
associated
|
a)
|
Name
|
Arnold W.
Donald
|
2
|
Reason for the notification
|
a)
|
Position/status
|
President & Chief Executive Officer of Carnival
Corporation & plc / Director
|
b)
|
Initial
notification/ Amendment
|
Initial Notification
|
3
|
Details of the issuer, emission allowance market
participant, auction platform, auctioneer or auction monitor
|
a)
|
Name
|
Carnival Corporation
|
b)
|
Legal Entity
Identifier
|
F1OF2ZSX47CR0BCWA982
|
4A
|
Details of the transaction: 1
|
a)
|
Description of
the financial instrument, type of instrument
Identification
code
|
Common stock
with a nominal value of US$0.01 per share
CUSIP:
143658300
|
b)
|
Nature
of the transaction
|
Acquired 73,302 shares on
the vesting of a grant of performance-based restricted stock units ("PBS
RSUs") originally made on April 13, 2016 pursuant to the Carnival Corporation
2011 Stock Plan. Each PBS RSU represented one share of Carnival Corporation
common stock. The reporting person was eligible to earn
from 0-200% of the stated target amount of PBS RSUs to the extent that
Carnival Corporation & plc's annual operating income, as adjusted for
certain fuel price changes and currency exchange rate impact for each of the
three fiscal years in the 2016-2018 performance cycle and return on invested
capital at the end of the three year performance cycle exceed specified
performance goals, as modified at the end of the three year performance cycle
for Carnival Corporation & plc's total shareholder return rank relative
to peers. This includes shares from
the settlement of dividend equivalents accumulated during the PBS RSU
restricted period.
|
c)
|
Price(s) and
volume(s)
|
Price(s)
$0.00
|
Volume(s)
73,302
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
73,302
$0.00
|
e)
|
Date of the
transaction
|
2019-02-15
|
f)
|
Place of the transaction
|
NYSE
|
4B
|
Details of the transaction: 2
|
a)
|
Description of the
financial instrument, type of instrument
Identification code
|
Common stock with a nominal
value of US$0.01 per share
CUSIP: 143658300
|
b)
|
Nature of the transaction
|
Represents a surrender of shares to
satisfy the tax obligation on the release
of vested PBS RSUs.
|
c)
|
Price(s) and volume(s)
|
Price(s)
$57.0837
|
Volume(s)
28,846
|
d)
|
Aggregated information
- Aggregated
volume
- Price
|
28,846
$57.0837
|
e)
|
Date of the transaction
|
2019-02-15
|
f)
|
Place of the
transaction
|
Off Market
|