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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Amendment No. 4 to the Second Amended and Restated
Schedule 13D
Under the Securities Exchange Act of 1934
CARNIVAL CORPORATION
(Name of Issuer)
Class A Common Stock ($.01 par value)
(Title of Class of Securities)
143658 10 2
(CUSIP Number)
Arnaldo Perez, Esq.
General Counsel
Carnival Corporation
3655 N.W. 87th Avenue
Miami, Florida 33178-2428
(305) 599-2600
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
December 31, 1997, January 12, 1998, February 2, 1998 and February 12, 1998
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ].
Note: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13d-1(a) for other parties to whom copies are to
be sent.
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power 1,826,583.34
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 1,826,583.34
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 1,826,583.34
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.6%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 2
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
TAMMS MANAGEMENT CORPORATION
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power 1,826,583.34
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 182,658
Person With -------------------
(10) Shared Dispositive Power 1,643,925.34
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 1,826,583.34
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.6%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 3
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
TED ARISON
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Israel
------------------------
Number of (7) Sole Voting Power 55,693,016
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 55,693,016
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 55,693,016
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [X]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 18.7%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 4
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE CONTINUED TRUST FOR MICHAEL ARISON
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power 2,000,000
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 2,000,000
Person With -------------------
(10) Shared Dispositive Power 379,504.68
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 2,379,504.68
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.8%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 5
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE SHARI ARISON IRREVOCABLE GUERNSEY TRUST
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Guernsey, Channel Islands
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 3,551,354
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 3,551,354
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.2%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 6
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE CONTINUED TRUST FOR SHARI ARISON DORSMAN
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power 2,000,000
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 2,000,000
Person With -------------------
(10) Shared Dispositive Power 379,504.66
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 2,379,504.66
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.8%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 7
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE TED ARISON 1994 IRREVOCABLE TRUST FOR SHARI NO. 1
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Jersey, Channel Islands
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 15,042,858
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 15,042,858
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 5.1%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 8
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
SHARI ARISON
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization United States and Israel
------------------------
Number of (7) Sole Voting Power 3,000,000
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 3,000,000
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 3,000,000
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.0%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 9
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE MARILYN B. ARISON IRREVOCABLE DELAWARE TRUST
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power 1,200,000
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 1,200,000
Person With -------------------
(10) Shared Dispositive Power 500,000
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 1,700,000
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.6%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 10
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
MARILYN B. ARISON
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization United States and Israel
------------------------
Number of (7) Sole Voting Power 516,220
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 516,220
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 516,220
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [X]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.2%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 11
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
MBA I LLC
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power 1,200,000
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 1,200,000
Person With -------------------
(10) Shared Dispositive Power 500,000
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 1,700,000
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.6%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 12
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE CONTINUED TRUST FOR MICKY ARISON
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power 979,504.66
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 979,504.66
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 979,504.66
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.3%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 13
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE MICKY ARISON 1997 HOLDINGS TRUST
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power 3,281,354
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 3,281,354
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 3,281,254
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.1%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 14
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
MA 1997 HOLDINGS, L.P.
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power 3,281,354
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 3,281,354
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 3,281,354
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.1%
---------
(14) Type of Reporting Person PN
-----------------------------------
Page 15
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
MA 1997 HOLDINGS, INC.
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power 3,281,354
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 3,281,354
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 3,281,354
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.1%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 16
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE MICKY ARISON 1994 "B" TRUST
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power 54,057,142
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 54,057,142
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 54,057,142
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 18.2%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 17
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
MA 1994 B SHARES, L.P.
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power 54,057,142
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 54,057,142
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 54,057,142
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 18.2%
---------
(14) Type of Reporting Person PN
-----------------------------------
Page 18
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
MA 1994 B SHARES, INC.
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power 54,057,142
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 54,057,142
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 54,057,142
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 18.2%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 19
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
MICKY ARISON
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization United States
------------------------
Number of (7) Sole Voting Power 600,000
Shares Bene- ------------------------
ficially (8) Shared Voting Power 54,338,496
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 600,000
Person With -------------------
(10) Shared Dispositive Power 54,057,142
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 57,938,496
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [X]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 19.5%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 20
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
A.H.W. LIMITED
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Guernsey, Channel Islands
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 3,551,354
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 3,551,354
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.2%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 21
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
ANDREW H. WEINSTEIN
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization United States
------------------------
Number of (7) Sole Voting Power 15,042,858
Shares Bene- ------------------------
ficially (8) Shared Voting Power 7,438,514
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 26,032,726
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 26,032,726
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 8.8%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 22
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
TAF MANAGEMENT COMPANY
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power 7,438,514
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 7,438,514
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 7,438,514
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 2.5%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 23
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
KENTISH LIMITED
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Isle of Man, United Kingdom
------------------------
Number of (7) Sole Voting Power 15,042,858
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 15,042,858
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 15,042,858
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 5.1%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 24
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
JMD DELAWARE, INC.
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization Delaware
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power 57,338,496
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 3,281,354
Person With -------------------
(10) Shared Dispositive Power 54,057,142
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 57,338,496
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 19.2%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 25
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
JAMES M. DUBIN
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds Not Applicable
---------------------------------------------
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e) [ ]
------------------------------
(6) Citizenship or Place of Organization United States
------------------------
Number of (7) Sole Voting Power -0-
Shares Bene- ------------------------
ficially (8) Shared Voting Power 57,338,496
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 3,281,354
Person With -------------------
(10) Shared Dispositive Power 54,057,142
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 57,338,496
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 19.2%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 26
The Second Amended and Restated Joint Statement on Schedule
13D, dated April 23, 1996, as amended (the "Schedule 13D"), of TAMMS L.P., TAMMS
Corp., Ted Arison, the Michael Arison Continued Trust, the Shari Arison Guernsey
Trust, the Shari Arison Continued Trust, the Shari Arison Trust No. 1, Shari
Arison, the Marilyn Arison Delaware Trust, Marilyn B. Arison, MBA I LLC, the
Micky Arison Continued Trust, the Micky Arison Trust, the B Trust, JMD Delaware,
James M. Dubin, Micky Arison, A.H.W. Limited, Andrew H. Weinstein, TAF
Management and Kentish Limited is hereby amended as follows:
Item 2. Identity and Background
Item 2 is hereby amended by the addition thereto of the
following:
"The Micky Arison 1997 Holdings Trust (the "MA 1997 Trust") is
hereby added as a Reporting Person to the Schedule 13D. The MA 1997 Trust is a
Delaware trust formed for the benefit of Micky Arison and his heirs. The
business address of the MA 1997 Trust is P.O. Box 1347, 1201 N. Market Street,
Wilmington, Delaware 19899-1347. The sole trustee of the MA 1997 Trust is JMD
Delaware, a Delaware corporation whose principal purpose is to serve as trustee
for certain trusts established for the benefit of members of the Arison family.
MA 1997 Holdings, L.P. ("MA 1997, L.P.") is hereby added as a
Reporting Person to the Schedule 13D. MA 1997, L.P. is a Delaware limited
partnership whose principal purpose is to hold and manage the investments
previously held directly by Micky Arison and the Micky Arison Trust. The
business address of MA 1997, L.P. is 1201 North Market Street, Wilmington,
Delaware 19899. The sole limited partner of MA 1997, L.P. is the MA 1997 Trust.
The general partner of MA 1997, L.P. is MA 1997 Holdings, Inc. ("MA 1997,
Inc."), a Delaware corporation which is wholly owned by the MA 1997 Trust.
MA 1997, Inc. is hereby added as a Reporting Person to the
Schedule 13D. MA 1997, Inc. is a Delaware corporation whose principal purpose is
to serve as the general partner for MA 1997, L.P. The business address of MA
1997, Inc. is 1201 North Market Street, Wilmington, Delaware 19899.
The executive officers of MA 1997, Inc. are: James M. Dubin,
Chairman and President; Jonathan R. Bell, Vice President and Treasurer; Denison
H. Hatch, Jr., Vice President and Secretary; Johannes R. Krahmer, Vice President
and Assistant Treasurer; and Walter C. Tuthill, Vice President. The directors of
MA 1997, Inc. are James M. Dubin, Denison H. Hatch, Jr. and Walter C. Tuthill.
The sole stockholder of MA 1997, Inc. is the MA 1997 Trust. Each of Messrs.
Dubin and Bell is an Attorney-at-Law at Paul, Weiss, Rifkind, Wharton &
Garrison, 1285 Avenue of the Americas, New York, New York 10019. Each of Messrs.
Hatch, Krahmer and Tuthill is an Attorney-at-Law at Morris, Nichols, Arsht &
Tunnell, P.O. Box 1347, 1201 N. Market Street, Wilmington, Delaware 19899-1347.
Each of
Page 27
Messrs. Dubin, Bell, Hatch, Krahmer and Tuthill is a United States citizen. MA
1997, Inc. is the general partner of MA 1997, L.P.
MA 1994 B Shares, L.P. ("B Shares, L.P.") is hereby added as a
Reporting Person to the Schedule 13D. B Shares, L.P. is a Delaware limited
partnership whose principal purpose is to hold and manage the investments
previously held directly by the B Trust. The business address of B Shares, L.P.
is 1201 North Market Street, Wilmington, Delaware 19899. The sole limited
partner of B Shares, L.P. is the B Trust. The general partner of B Shares, L.P.
is MA 1994 B Shares, Inc., a Delaware corporation which is wholly owned by the B
Trust ("B Shares, Inc.").
B Shares, Inc. is hereby added as a Reporting Person to the
Schedule 13D. B Shares, Inc. is a Delaware corporation whose principal purpose
is to serve as the general partner of B Shares, L.P. The business address of B
Shares, Inc. is P.O. Box 1347, 1201 North Market Street, Wilmington, Delaware
19899-1347.
The executive officers of B Shares, Inc. are: James M. Dubin,
Chairman and President; Jonathan R. Bell, Vice President and Treasurer; Denison
H. Hatch, Jr., Vice President and Secretary; Johannes R. Krahmer, Vice President
and Assistant Treasurer; and Walter C. Tuthill, Vice President. The directors of
B Shares, Inc. are James M. Dubin, Denison H. Hatch, Jr. and Walter C. Tuthill.
The sole stockholder of B Shares, Inc. is the B Trust. Each of Messrs. Dubin and
Bell is an Attorney-at-Law at Paul, Weiss, Rifkind, Wharton & Garrison, 1285
Avenue of the Americas, New York, New York 10019. Each of Messrs. Hatch, Krahmer
and Tuthill is an Attorney-at-Law at Morris, Nichols, Arsht & Tunnell, P.O. Box
1347, 1201 N. Market Street, Wilmington, Delaware 19899-1347. Each of Messrs.
Dubin, Bell, Hatch, Krahmer and Tuthill is a United States citizen. B Shares,
Inc. is the general partner of B Shares, L.P."
Item 4. Purpose of Transaction.
Item 4 is hereby amended by the addition thereto of the
following:
"Since the last report, the Reporting Persons have
restructured their aggregate holdings with respect to 58,238,496 shares of Class
A Common Stock, acquired 30,000 shares of Class A Common Stock and sold 900,000
shares of Class A Common Stock. This was accomplished by: (a) the contribution
by JMD Delaware, as Trustee of the Micky Arison Trust, of 3,251,354 shares of
Class A Common Stock to MA 1997, L.P., on December 31, 1997; (b) the
contribution by JMD Delaware, as Trustee of the B Trust, of 54,957,142 shares of
Class A Common Stock to B Shares, L.P. on December 31, 1997; (c) the acquisition
of 30,000 shares of Class A Common Stock by Micky Arison on January 12, 1998 and
the subsequent transfer of such shares to MA 1997, L.P. on February 2, 1998; and
(d) the sale by B Shares, L.P. of 900,000 shares of Class A Common Stock at $57
per share in a
Page 28
transaction pursuant to Rule 144 under the Securities Act of 1933, as amended
(the "Securities Act") on February 12, 1998.
The transfers of shares by the Reporting Persons in the
December-- February Transactions (as defined below in "Interests in Securities
of the Issuer") were effected for certain estate planning, investment and other
related purposes.
None of the Reporting Persons has any current plans to change
the management or operations of the Issuer."
Item 5. Interest in Securities of the Issuer.
Item 5 is hereby amended by the addition thereto of the
following:
"On December 31, 1997, JMD Delaware, as Trustee of the Micky
Arison Trust, contributed 3,251,354 shares of Class A Common Stock to MA 1997,
L.P.
On December 31, 1997, JMD Delaware, as Trustee of the B Trust,
contributed 54,957,142 shares of Class A Common Stock to B Shares, L.P.
On January 12, 1998, Micky Arison was granted 30,000 shares of
Class A Common Stock pursuant to the Issuer's 1993 Restricted Stock Plan, which
he then contributed to MA 1997, L.P. on February 2, 1998.
On February 12, 1998, B Shares, L.P. sold 900,000 shares of
Class A Common Stock at $57 per share in a transaction pursuant to Rule 144
under the Securities Act.
The foregoing transactions are referred to herein as the
"December--February Transactions."
Following the December--February Transactions, the MA 1997
Trust beneficially owns 3,281,354 shares of Class A Common Stock (approximately
1.1% of the total number of shares of Class A Common Stock reported in the
Issuer's Quarterly Report on Form 10-Q for the quarter ending August 31, 1997 to
be outstanding as of October 10, 1997), by virtue of being the sole stockholder
of MA 1997, Inc. The MA 1997 Trust has shared voting power and sole dispositive
power with respect to all such shares of Class A Common Stock.
Following the December--February Transactions, MA 1997, L.P.
beneficially owns an aggregate of 3,281,354 shares of Class A Common Stock
(approximately 1.1% of the total number of shares of Class A Common Stock
reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending
August 31, 1997 to be outstanding as of October 10, 1997), all of which it holds
directly.
Page 29
MA 1997, L.P. has shared voting and sole dispositive power with respect to all
such shares of Class A Common Stock that it holds directly.
Following the December--February Transactions, MA 1997, Inc.
beneficially owns an aggregate of 3,281,354 shares of Class A Common Stock
(approximately 1.1% of the total number of shares of Class A Common Stock
reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending
August 31, 1997 to be outstanding as of October 10, 1997), by virtue of being
the general partner of MA 1997, L.P. MA 1997, Inc. has shared voting and sole
dispositive power with respect to all such shares of Class A Common Stock.
Following the December--February Transactions, the B Trust
beneficially owns 54,057,142 shares of Class A Common Stock (approximately 18.2%
of the total number of shares of Class A Common Stock reported in the Issuer's
Quarterly Report on Form 10-Q for the quarter ending August 31, 1997 to be
outstanding as of October 10, 1997), by virtue of being the sole stockholder of
B Shares, Inc. The B Trust has shared voting power and dispositive power with
respect to all such shares of Class A Common Stock held by B Shares, L.P.
Following the December--February Transactions, B Shares, L.P.
beneficially owns an aggregate of 54,057,142 shares of Class A Common Stock
(approximately 18.2% of the total number of shares of Class A Common Stock
reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending
August 31, 1997 to be outstanding as of October 10, 1997), which its holds
directly. B Shares, L.P. has shared voting and dispositive power with respect to
all such shares of Class A Common Stock.
Following the December--February Transactions, B Shares, Inc.
beneficially owns an aggregate of 54,057,142 shares of Class A Common Stock
(approximately 18.2% of the total number of shares of Class A Common Stock
reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending
August 31, 1997 to be outstanding as of October 10, 1997), by virtue of being
the general partner of B Shares, L.P. B Shares, Inc. has shared voting and
dispositive power with respect to all such shares of Class A Common Stock.
Following the December--February Transactions, Micky Arison
beneficially owns an aggregate of 57,938,496 shares of Class A Common Stock
(approximately 19.5% of the total number of shares of Class A Common Stock
reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending
August 31, 1997 to be outstanding as of October 10, 1997), 600,000 shares of
which are underlying vested options which he holds directly, 3,281,354 shares
with respect to which he has a beneficial interest by virtue of the interest and
authority granted to him under the trust instrument for the MA 1997 Trust and
54,057,142 shares with respect to which he has a beneficial interest by virtue
of the interest and authority granted to him under the trust instrument for the
B Trust. Micky Arison shares voting power with respect to the 3,281,354 shares
of Class A Common Stock indirectly held by the MA 1997 Trust and shares voting
and dispositive power with
Page 30
respect to the 54,057,142 shares of Class A Common Stock indirectly held by the
B Trust.
Because of his status as President and Treasurer of TAMMS
Corp., Micky Arison may be deemed to share voting power with respect to the
1,826,583.34 shares of Class A Common Stock beneficially owned by TAMMS L.P.
Micky Arison disclaims beneficial ownership of the 1,826,583.34 shares of Class
A Common Stock owned by TAMMS L.P. which are beneficially owned by the partners
of TAMMS L.P. Accordingly, Micky Arison has not reported beneficial ownership of
any of the shares of Class A Common Stock held by TAMMS L.P.
Following the December--February Transactions, JMD Delaware
beneficially owns an aggregate of 57,338,496 shares of Class A Common Stock
(approximately 19.3% of the total number of shares of Class A Common Stock
reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending
August 31, 1997 to be outstanding as of October 10, 1997), by virtue of being
the trustee of the 1997 MA Trust and the B Trust. JMD Delaware may be deemed to
have shared voting and sole dispositive power with respect to the 3,281,354
shares of Class A Common Stock indirectly held by the MA 1997 Trust and shared
voting and dispositive power with respect to the 54,057,142 shares of Class A
Common Stock indirectly held by the B Trust. JMD Delaware disclaims beneficial
ownership of all such shares of Class A Common Stock.
Following the December--February Transactions, James M. Dubin
beneficially owns an aggregate of 57,338,496 shares of Class A Common Stock
(approximately 19.3% of the total number of shares of Class A Common Stock
reported in the Issuer's Quarterly Report on Form 10-Q for the quarter ending
August 31, 1997 to be outstanding as of October 10, 1997), by virtue of being
the sole shareholder of JMD Delaware, the trustee of the MA 1997 Trust and the B
Trust. Mr. Dubin may be deemed to have shared voting and sole dispositive power
with respect to the 3,281,354 shares of Class A Common Stock indirectly held by
the MA 1997 Trust and shared voting and dispositive power with respect to the
54,057,142 shares of Class A Common Stock indirectly held by the B Trust. Mr.
Dubin disclaims beneficial ownership of all such shares of Class A Common Stock.
The Reporting Persons, as a group, beneficially own an
aggregate of 139,680,458 shares of Class A Common Stock (approximately 47.0% of
the total number of shares of Class A Common Stock reported in the Issuer's
Quarterly Report on Form 10-Q for the quarter ending August 31, 1997 to be
outstanding as of October 10, 1997). The Reporting Persons, as a group, have
sole voting and dispositive power over such shares of Class A Common Stock.
Other than the Reporting Persons, no person has the right to
receive or the power to direct the receipt of dividends from, or the proceeds
from the sale of these shares of Class A Common Stock.
Page 31
Except for the December--February Transactions, the Reporting
Persons have effected no transactions in shares of Class A Common Stock during
the past 60 days."
Item 7. Material to be Filed as Exhibits.
Item 7 is hereby amended by the addition thereto of the
following:
Exhibit 13 Joint Filing Agreement, dated as of February 16, 1998, among
TAMMS L.P., TAMMS Corp., Ted Arison, the Michael Arison
Continued Trust, the Shari Arison Irrevocable Trust, the Shari
Arison Continued Trust, the Shari Arison Trust No. 1, Shari
Arison, the Marilyn Arison Delaware Trust, Marilyn B. Arison,
MBA I LLC, the Micky Arison Continued Trust, the MA 1997
Trust, MA 1997, L.P., MA 1997, Inc., the B Trust, B Shares,
L.P., B Shares, Inc., Micky Arison, A.H.W. Limited, Andrew H.
Weinstein, TAF Management, Kentish Limited, JMD Delaware and
James M. Dubin.
Page 32
Signatures
----------
After reasonable inquiry and to the best of our knowledge and
belief, we certify that the information set forth in this statement is true,
complete and correct.
Date: February 16, 1998
TAMMS INVESTMENT COMPANY,
LIMITED PARTNERSHIP
By: TAMMS MANAGEMENT
CORPORATION, MANAGING
GENERAL PARTNER
By: /s/ Micky Arison
--------------------
Micky Arison, President
TAMMS MANAGEMENT
CORPORATION
By: /s/ Micky Arison
--------------------
Micky Arison, President
/s/ Ted Arison
--------------
Ted Arison
CONTINUED TRUST FOR MICHAEL
ARISON, TAF MANAGEMENT
COMPANY, TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
of Corporate Trustee
SHARI ARISON IRREVOCABLE
GUERNSEY TRUST, A.H.W.
LIMITED, TRUSTEE
By: /s/ R.J. Banfield
---------------------
R.J. Banfield, Director
CONTINUED TRUST FOR SHARI
ARISON DORSMAN, TAF
MANAGEMENT COMPANY,
TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
of Corporate Trustee
TED ARISON 1994 IRREVOCABLE
TRUST FOR SHARI NO. 1,
CITITRUST (JERSEY) LIMITED,
TRUSTEE
By: /s/ Debbie Masters /s/ Rob Vincent
---------------------------------------
Debbie Masters, Director
Rob Vincent, Asst. Secretary
/s/ Shari Arison
----------------
Shari Arison
MARILYN B. ARISON IRREVOCABLE DELAWARE
TRUST, TAF MANAGEMENT COMPANY,
TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
of Corporate Trustee
/s/ Marilyn Arison
----------------
Marilyn Arison
Page 33
MBA I LLC
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
of Corporate Trustee
CONTINUED TRUST FOR MICKY
ARISON, TAF MANAGEMENT
COMPANY, TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
of Corporate Trustee
MICKY ARISON 1997 HOLDINGS
TRUST, JMD DELAWARE, INC.,
TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary of Corporate Trustee
MA 1997 HOLDINGS, L.P., MA 1997
HOLDINGS, INC., GENERAL
PARTNER
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
MA 1997 HOLDINGS, INC.
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
MICKY ARISON 1994 "B" TRUST,
JMD DELAWARE, INC., TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary of Corporate Trustee
/s/ Micky Arison
----------------
Micky Arison
MA 1994 B SHARES, L.P., MA 1994 B
SHARES, INC., GENERAL PARTNER
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
MA 1994 B SHARES, INC.
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
A.H.W. LIMITED
By: /s/ R.J. Banfield
---------------------
R.J. Banfield, Director
/s/ Andrew H. Weinstein
-----------------------
Andrew H. Weinstein
TAF MANAGEMENT COMPANY
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
Page 34
KENTISH LIMITED
By: /s/ Philip Scales
---------------------
Philip Scales
JMD DELAWARE, INC.
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
/s/ James M. Dubin
------------------
James M. Dubin
Page 35
INDEX TO EXHIBITS
-----------------
Exhibits
- --------
13 Joint Filing Agreement, dated as of February 16,
1998, among TAMMS L.P., TAMMS Corp., Ted
Arison, the Michael Arison Continued Trust, the
Shari Arison Irrevocable Trust, the Shari Arison
Continued Trust, the Shari Arison Trust No. 1,
Shari Arison, the Marilyn Arison Delaware Trust,
Marilyn B. Arison, MBA I LLC, the Micky Arison
Continued Trust, the MA 1997 Trust, MA 1997,
L.P., MA 1997, Inc., the B Trust, B Shares, L.P.,
B Shares, Inc., Micky Arison, A.H.W. Limited,
Andrew H. Weinstein, TAF Management, Kentish
Limited, JMD Delaware and James M. Dubin.
Page 36
EXHIBIT 13
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(f) under the Securities Exchange
Act of 1934, as amended, the persons named below agree to the joint filing on
behalf of each of them of an amendment or amendments to the Second Amended and
Restated Joint Statement on Schedule 13D dated April 23, 1996. This Joint Filing
Agreement shall be included as an Exhibit to such joint filing. In evidence
thereof, each of the undersigned, being duly authorized, hereby executed this
Agreement this 16th day of February, 1998.
TAMMS INVESTMENT COMPANY,
LIMITED PARTNERSHIP
By: TAMMS MANAGEMENT
CORPORATION, MANAGING
GENERAL PARTNER
By: /s/ Micky Arison
--------------------
Micky Arison, President
TAMMS MANAGEMENT
CORPORATION
By: /s/ Micky Arison
--------------------
Micky Arison, President
/s/ Ted Arison
--------------
Ted Arison
SHARI ARISON IRREVOCABLE
GUERNSEY TRUST, A.H.W.
LIMITED, TRUSTEE
By: /s/ R.J. Banfield
---------------------
R.J. Banfield, Director
CONTINUED TRUST FOR SHARI
ARISON DORSMAN, TAF
MANAGEMENT COMPANY,
TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
of Corporate Trustee
TED ARISON 1994 IRREVOCABLE
TRUST FOR SHARI NO. 1,
CITITRUST (JERSEY) LIMITED,
TRUSTEE
By: /s/ Debbie Masters /s/ Rob Vincent
---------------------------------------
Debbie Masters, Director
Rob Vincent, Asst. Secretary
/s/ Shari Arison
----------------
Shari Arison
MARILYN B. ARISON IRREVOCABLE DELAWARE
TRUST, TAF MANAGEMENT COMPANY,
TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
of Corporate Trustee
Page 37
/s/ Marilyn Arison
----------------
Marilyn Arison
MBA I LLC
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Executive Vice President,
Secretary and Treasurer
CONTINUED TRUST FOR MICKY
ARISON, TAF MANAGEMENT
COMPANY, TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
of Corporate Trustee
MICKY ARISON 1997 HOLDINGS
TRUST, JMD DELAWARE, INC.,
TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary of Corporate Trustee
/s/ Micky Arison
----------------
Micky Arison
MA 1997 HOLDINGS, INC.
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
MA 1997 HOLDINGS, L.P., MA 1997
HOLDINGS, INC., GENERAL
PARTNER
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
MICKY ARISON 1994 "B" TRUST,
JMD DELAWARE, INC., TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary of Corporate Trustee
/s/ Micky Arison
----------------
Micky Arison
MA 1994 B SHARES, L.P., MA 1994 B
SHARES, INC., GENERAL PARTNER
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
MA 1994 B SHARES, INC.
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
A.H.W. LIMITED
By: /s/ R.J. Banfield
---------------------
R.J. Banfield, Director
/s/ Andrew H. Weinstein
-----------------------
Andrew H. Weinstein
Page 38
TAF MANAGEMENT COMPANY
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary and Treasurer
KENTISH LIMITED
By: /s/ Philip Scales
---------------------
Philip Scales, Director
JMD DELAWARE, INC.
By: /s/ Denison H. Hatch, Jr.
-----------------------------
Denison H. Hatch, Jr.
Secretary
/s/ James M. Dubin
------------------
James M. Dubin