Director/PDMR Shareholding
Carnival Corporation & plc
Notification of Transactions of Directors/PDMRS
| 1 | Details of the person discharging managerial responsibilities/person closely associated | ||
| a) | Name | Arnold W. Donald | |
| 2 | Reason for the notification | ||
| a) | Position/status | 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 | Vesting of performance-based restricted stock units (“Performance RSUsâ€) granted on April 16, 2014 pursuant to the Carnival Corporation 2011 Stock Plan. Each Performance RSU represents one share of Carnival Corporation common stock. Mr. Donald was eligible to earn from 0-200% of the stated target amount of Performance RSUs to the extent that Carnival Corporation & plc's annual earnings before interest and taxes, as adjusted for certain fuel price changes for each of the three fiscal years in the 2014-2016 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 Performance RSU restricted period. | |
| c) | Price(s) and volume(s) | Price(s) $0.00 |
Volume(s) 75,863 |
| d) | Aggregated information - Aggregated volume - Price |
75,863 $0.00 |
|
| e) | Date of the transaction | 2017-2-15 | |
| 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 | Sale of shares to cover tax obligations. | |
| c) | Price(s) and volume(s) | Price(s) $55.88 |
Volume(s) 32,049 |
| d) | Aggregated information - Aggregated volume - Price |
32,049 $55.88 |
|
| e) | Date of the transaction | 2017-2-15 | |
| f) | Place of the transaction | NYSE | |
| 1 | Details of the person discharging managerial responsibilities/person closely associated | ||
| a) | Name | Michael O. Thamm | |
| 2 | Reason for the notification | ||
| a) | Position/status | Chief Executive Officer of the Costa Group | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | Carnival plc | |
| b) | Legal Entity Identifier | 4DR1VPDQMHD3N3QW8W95 | |
| 4A | Details of the transaction: 1 | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares with a nominal value of US$1.66 per share ISIN: GB0031215220 |
|
| b) | Nature of the transaction | Vesting of performance-based restricted stock units (“Performance RSUsâ€) granted on April 16, 2014 pursuant to the Carnival plc 2005 Employee Share Plan. Each Performance RSU represents one share of Carnival Corporation common stock. Mr. Thamm was eligible to earn from 0-200% of the stated target amount of Performance RSUs to the extent that Carnival Corporation & plc's annual earnings before interest and taxes, as adjusted for certain fuel price changes for each of the three fiscal years in the 2014-2016 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 Performance RSU restricted period. | |
| c) | Price(s) and volume(s) | Price(s) $0.00 |
Volume(s) 25,614 |
| d) | Aggregated information - Aggregated volume - Price |
25,614 $0.00 |
|
| e) | Date of the transaction | 2017-2-15 | |
| f) | Place of the transaction | Off Market | |
| 4B | Details of the transaction: 2 | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares with a nominal value of US$1.66 per share ISIN: GB0031215220 |
|
| b) | Nature of the transaction | Sale of shares to cover tax obligations | |
| c) | Price(s) and volume(s) | Price(s) £43.58 |
Volume(s) 12,846 |
| d) | Aggregated information - Aggregated volume - Price |
12,846 £43.58 |
|
| e) | Date of the transaction | 2017-2-15 | |
| f) | Place of the transaction | LSE | |
| 1 | Details of the person discharging managerial responsibilities/person closely associated | ||
| a) | Name | David Noyes | |
| 2 | Reason for the notification | ||
| a) | Position/status | Chief Executive Officer of Carnival UK | |
| b) | Initial notification /Amendment | Initial Notification | |
| 3 | Details of the issuer, emission allowance market participant, auction platform, auctioneer or auction monitor | ||
| a) | Name | Carnival plc | |
| b) | Legal Entity Identifier | 4DR1VPDQMHD3N3QW8W95 | |
| 4A | Details of the transaction: 1 | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares with a nominal value of US$1.66 per share ISIN: GB0031215220 |
|
| b) | Nature of the transaction | Vesting of performance-based restricted stock units (“Performance RSUsâ€) granted on April 16, 2014 pursuant to the Carnival plc 2005 Employee Share Plan. Each Performance RSU represents one share of Carnival Corporation common stock. Mr. Noyes was eligible to earn from 0-200% of the stated target amount of Performance RSUs to the extent that Carnival Corporation & plc's annual earnings before interest and taxes, as adjusted for certain fuel price changes for each of the three fiscal years in the 2014-2016 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 Performance RSU restricted period. | |
| c) | Price(s) and volume(s) | Price(s) $0.00 |
Volume(s) 2,675 |
| d) | Aggregated information - Aggregated volume - Price |
2,675 $0.00 |
|
| e) | Date of the transaction | 2017-2-15 | |
| f) | Place of the transaction | Off Market | |
| 4B | Details of the transaction: 2 | ||
| a) | Description of the financial instrument, type of instrument Identification code |
Ordinary shares with a nominal value of US$1.66 per share ISIN: GB0031215220 |
|
| b) | Nature of the transaction | Sale of shares to cover tax obligations | |
| c) | Price(s) and volume(s) | Price(s) £43.58 |
Volume(s) 1,474 |
| d) | Aggregated information - Aggregated volume - Price |
1,474 £43.58 |
|
| e) | Date of the transaction | 2017-2-15 | |
| f) | Place of the transaction | LSE | |
Arnaldo Perez
General Counsel & Secretary
Carnival Corporation & plc
3655 NW 87th Avenue
MLGL-815
Miami, FL 33178
T: 305.599.2600
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