SEC Filings

DEF 14A
CARNIVAL CORP filed this Form DEF 14A on 03/07/2019
Entire Document
 


Table of Contents

 

SHARE OWNERSHIP

 

SHARE OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT

 

Directors and Executive Officers

Set forth below is information concerning the share ownership as of January 17, 2019 of:

 

 

each of our Directors;

 

each individual named in the “Summary Compensation Table” which appears elsewhere in this Proxy Statement; and

 

all Directors and executive officers as a group.

The number of shares beneficially owned by each entity, person, Director or executive officer is determined under SEC rules, and the information is not necessarily indicative of beneficial ownership for any other purpose. Under such rules, beneficial ownership includes any shares as to which the individual has the sole or shared voting power or investment power and also any shares that the individual would have the right to acquire as of March 17, 2019 (being 60 days after January 17, 2019) through the vesting of RSUs.

 

  Name and Address of

  Beneficial Owners or

  Identity of Group(1)

 

 

Amount and Nature of

Beneficial Ownership of

Carnival Corporation

Common Stock*

 

 

Percentage of

Carnival

Corporation

Common Stock

 

 

Amount and

Nature of

Beneficial

Ownership of

Carnival plc

Ordinary

Shares

 

 

Percentage of

Carnival plc

Ordinary

Shares

 

 

 Percentage of 

Combined

Voting

Power**

 

 

Micky Arison

 

     

 

126,136,034

 

(2)(3)

 

 
     

 

23.9%

 

 

 

     

 

0

 

 

     

 

 

 

     

 

18.2%

 

 

 

 

Sir Jonathon Band

 

     

 

20,152

 

 

     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

David Bernstein

 

     

 

36,557

 

(4)

 

 
     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

Jason Glen Cahilly

 

     

 

2,749

 

 

     

 

 

 

     

 

0

 

 

     

 

 

 

     

 

 

 

 

Helen Deeble

 

     

 

5,458

 

 

     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

Arnold W. Donald

 

     

 

498,274

 

(4)(5)

 

 
     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

Richard J. Glasier

 

     

 

23,124

 

 

     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

Stein Kruse

 

     

 

61,238

 

(4)

 

 
     

 

***

 

 

     

 

4,240

 

 

     

 

***

 

 

 

     

 

***

 

 

 

Debra Kelly-Ennis

 

     

 

24,845

 

 

     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

Katie Lahey

 

     

 

0

 

 

     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

Sir John Parker

 

     

 

26,104

 

 

     

 

***

 

 

     

 

10,004

 

(6)

 

 
     

 

***

 

 

 

     

 

***

 

 

 

Arnaldo Perez

 

     

 

33,909

 

(4)(7)

 

 
     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

Stuart Subotnick

 

     

 

46,806

 

 

     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

Michael Thamm

 

     

 

0

 

 

     

 

 

 

     

 

50,914

 

(4)

 

 
     

 

***

 

 

     

 

***

 

 

 

Laura Weil

 

     

 

44,358

 

 

     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

Randall J. Weisenburger

 

     

 

99,000

 

 

     

 

***

 

 

     

 

0

 

 

     

 

 

 

     

 

***

 

 

 

All Directors and executive officers as a group

   (17 persons)

 

     

 

127,058,608

 

 

     

 

24.1%

 

 

 

     

 

65,158

 

 

     

 

***

 

 

     

 

18.4%

 

 

 

*

As part of the establishment of the DLC arrangement, Carnival plc issued a special voting share to Carnival Corporation, which transferred such share to the trustee of the P&O Princess Special Voting Trust (the “Trust”), a trust established under the laws of the Cayman Islands. Trust shares of beneficial interest in the Trust were transferred to Carnival Corporation. The trust shares represent a beneficial interest in the Carnival plc special voting share. Immediately following the transfer, Carnival Corporation distributed such trust shares by way of a dividend to holders of shares of Carnival Corporation common stock. Under a pairing agreement, the trust shares of beneficial interest in the Trust are paired with, and evidenced by, certificates representing shares of Carnival Corporation common stock on a one-for-one basis. In addition, under the pairing agreement, when a share of Carnival Corporation common stock is issued to a person after the implementation of the DLC

 

32            LOGO Carnival Corporation & plc 2019 Proxy Statement