|
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
|
Grant of restricted stock units ("MTE
RSUs") made pursuant to the Carnival Corporation 2011 Stock Plan. Award
of RSUs represent a hypothetical interest in Carnival Corporation common stock.
The restriction on the MTE RSUs lapse on the second anniversary of the grant
date. The MTE 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 MTE RSUs. The Compensation
Committee also approved that the number of MTE RSUs were determined by
dividing the value by the closing price on date of grant.
|
|
c)
|
Price(s) and
volume(s)
|
Price(s)
$0.00
|
Volume(s)
44,913
|
|
d)
|
Aggregated information
- Aggregated volume
- Price
|
44,913
$0.00
|
|
e)
|
Date of the
transaction
|
2019-01-14
|
|
f)
|
Place of the transaction
|
Off Market
|
|
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
|
Grant of
shareholder equity alignment restricted stock units ("SEA RSUs") pursuant to
the Carnival Corporation 2011 Stock Plan. Each SEA RSU represents one
share of Carnival Corporation ("Carnival") common stock. The SEA RSUs
vest as a percentage of the target number granted based on achievement
of pre-defined goals. Each holder of SEA RSUs may earn 0%-300% of the stated target
amount of SEA RSUs adjusted based on the compound annual growth rate
of absolute total shareholder return over the 2019-2021 fiscal
year's period, which is then modified from 33%-200% by Carnival's ranking
relative to the compound annual growth rate of the total shareholder return
of Carnival Corporation & plc's proxy peer group, for the same
period. The overall potential earned value is capped at 7 times the
grant date target value.
|
|
c)
|
Price(s) and volume(s)
|
Price(s)
$0.00
|
Volume(s)
35,000
|
|
d)
|
Aggregated
information
- Aggregated
volume
- Price
|
35,000
$0.00
|
|
e)
|
Date of the transaction
|
2019-01-14
|
|
f)
|
Place of the transaction
|
Off Market
|
