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OMB Number: 3235-0287
Expires: December 31, 2001
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
(Print or Type responses)
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1. Name and Address of Reporting Person*
Arison Micky Meir
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(Last) (First) (Middle)
3655 N.W. 87th Avenue
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(Street)
Miami Florida 33178-2428
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Carnival Corporation/CCL
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
05/01
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[X] Director [X] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Chairman and Chief Executive Officer
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form filed by one Reporting Person
[_] Form filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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Common Stock, par value 5/24/01 M 2,000,000 (A) $11.25
$0.01 per share
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Common Stock, par value 5/24/01 F 760,521 (D) $29.585 5,982,187 (I) (1)
$0.01 per share
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Common Stock, par value 3,653,168 (I) (2)
$0.01 per share
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Common Stock, par value 17,538,393 (I) (3)
$0.01 per share
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Common Stock, par value 92,847,639 (I) (4)
$0.01 per share
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Common Stock, par value 101,114,284 (I) (5)
$0.01 per share
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF
INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND
UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
(Over)
SEC 1474 (3/99)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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Options to purchase $11.25 5/24/2001 M 2,000,000 5/30/95 5/30/2005 Common 2,000,000 600,000 (D)
Common Stock Stock
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Explanation of Responses:
(1) By virtue of the authority and interest granted to him under the trust
instrument of the 1997 Micky Arison Holdings Trust.
(2) As President and Treasurer of TAMMS Corp., general partner of TAMMS, L.P.
(3) By virtue of the authority and interest granted to him under the trust
instrument of the 1997 Irrevocable Trust for Micky Arison.
(4) By virtue of the authority granted to him under the last will of Ted
Arison, dated July 8, 1999.
(5) By virtue of the authority and interest granted to him under the trust
instrument of the Micky Arison "B" Trust.
General notes:
The reporting person disclaims beneficial ownership of the shares of Common
Stock listed under (2) and (4). The reporting person may be deemed a member
of a Section 13(d) group that owns more than 10% of the issuer's
outstanding Common Stock. However, the reporting person disclaims such
group membership, and this report shall not be deemed an admission that the
reporting person is a member of a Section 13(d) group that owns more than
10% of the issuer's outstanding Common Stock for purposes of Section 16 or
for any other purpose. The reporting person disclaims beneficial ownership
of all such shares.
/s/ Micky Meir Arison June 8, 2001
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**Signature of Reporting Person Date
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB control number.
