View:
Download DOC
Download PDF
Download XLS
Download XBRL
Form 8-K
false00008150970001125259 0000815097 2021-04-20 2021-04-20 0000815097 ccl:CarnivalPLCMember 2021-04-20 2021-04-20 0000815097 us-gaap:CommonStockMember 2021-04-20 2021-04-20 0000815097 ccl:OrdinarySharesEachRepresentedByAmericanDepositarySharesMember ccl:CarnivalPLCMember 2021-04-20 2021-04-20 0000815097 ccl:A1875SeniorNotesDue2022Member 2021-04-20 2021-04-20 0000815097 ccl:A1000SeniorNotesDue2029Member 2021-04-20 2021-04-20
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
FORM 8-K
 
 
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (date of earliest event reported) April 20, 2021
 
Carnival Corporation
  
Carnival plc
(Exact name of registrant as specified in its charter)
  
(Exact name of registrant as specified in its charter)
Republic of Panama
  
England and Wales
(State or other jurisdiction of incorporation)
  
(State or other jurisdiction of incorporation)
1-9610
  
1-15136
(Commission File Number)
  
(Commission File Number)
59-1562976
  
98-0357772
(I.R.S. Employer Identification No.)
  
(I.R.S. Employer Identification No.)
3655 N.W. 87th Avenue
Miami, Florida 33178-2428
United States of America
  
Carnival House
100 Harbour Parade
Southampton SO15 1ST
United Kingdom
(Address of principal executive offices)
(Zip code)
  
(Address of principal executive offices)
(Zip code)
(305) 599-2600
  
011 44 23 8065 5000
(Registrant’s telephone number, including area code)
  
(Registrant’s telephone number, including area code)
None
  
None
(Former name or former address, if changed since last report.)
  
(Former name or former address, if changed since last report.)
 
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
  ☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
  ☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
  ☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
  ☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
 
Title of each class
  
Trading
Symbol(s)
  
Name of each exchange
on which registered
Common Stock ($0.01 par value)
  
CCL
  
New York Stock Exchange, Inc.
Ordinary Shares each represented by American Depositary Shares ($1.66 par value), Special Voting Share, GBP 1.00 par value and Trust Shares of beneficial interest in the P&O Princess Special Voting Trust
  
CUK
  
New York Stock Exchange, Inc.
1.875% Senior Notes due 2022
  
CUK22
  
New York Stock Exchange LLC
1.000% Senior Notes due 2029
  
CUK29
  
New York Stock Exchange LLC
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company  ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐
 
 
 
Section 5 – Corporate Governance and Management.
Item 5.07 – Submission of Matters to a Vote of Security Holders.
The annual meetings of shareholders of Carnival Corporation and Carnival plc were held on April 20, 2021 (the “Annual Meetings”). On all matters which came before the Annual Meetings, holders of Carnival Corporation common stock and Carnival plc ordinary shares were entitled to one vote for each share held. Proxies for 694,388,982 shares entitled to vote were received in connection with the Annual Meetings.
The matters which were submitted to Carnival Corporation and Carnival plc’s shareholders for approval at the Annual Meetings and the tabulation of the final votes with respect to each such matter were as follows:
Director Elections.
 
    
Proposal
   
For
     
Against
     
Abstain
     
Broker
Non-Votes
  
1.    To re-elect Micky Arison as a director of Carnival Corporation and Carnival plc      486,674,702        29,178,010        1,659,553        176,876,717  
2.    To re-elect Sir Jonathon Band as a director of Carnival Corporation and Carnival plc      487,769,759        28,030,472        1,712,033        176,876,717  
3.    To re-elect Jason Glen Cahilly as a director of Carnival Corporation and Carnival plc      511,436,618        3,216,243        2,859,404        176,876,717  
4.    To re-elect Helen Deeble as a director of Carnival Corporation and Carnival plc      508,421,340        6,355,184        2,735,741        176,876,717  
5.    To re-elect Arnold W. Donald as a director of Carnival Corporation and Carnival plc      505,972,634        9,900,709        1,638,922        176,876,717  
6.    To elect Jeffrey J. Gearhart as a director of Carnival Corporation and Carnival plc      510,218,289        4,481,780        2,812,196        176,876,717  
7.    To re-elect Richard J. Glasier as a director of Carnival Corporation and Carnival plc      475,298,878        40,491,605        1,721,781        176,876,717  
8.    To re-elect Katie Lahey as a director of Carnival Corporation and Carnival plc      503,685,017        11,060,511        2,766,736        176,876,717  
9.    To re-elect Sir John Parker as a director of Carnival Corporation and Carnival plc      460,837,307        54,957,834        1,717,123        176,876,717  
10.    To re-elect Stuart Subotnick as a director of Carnival Corporation and Carnival plc      450,433,899        65,346,004        1,732,361        176,876,717  
11.    To re-elect Laura Weil as a director of Carnival Corporation and Carnival plc      480,214,523        35,616,848        1,680,893        176,876,717  
12.    To re-elect Randall J. Weisenburger as a director of Carnival Corporation and Carnival plc      476,866,056        38,922,216        1,723,992        176,876,717  
Other Matters.
 
13.    To approve, on a (non-binding) advisory basis, executive compensation      463,375,416        50,700,481        3,436,367        176,876,717  
14.    To approve, on a (non-binding) advisory basis, the Carnival plc Directors’ Remuneration Report      482,163,351        31,952,803        3,396,110        176,876,717  
    
Proposal
   
For
     
Against
     
Abstain
     
Broker
Non-Votes
  
15.    To re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors for Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Carnival Corporation      655,073,342        36,146,930        3,168,709        0  
16.    To authorize the Audit Committee of Carnival plc to determine the remuneration of the independent auditors of Carnival plc      683,470,354        7,597,046        3,321,582        0  
17.    To receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2020      680,097,121        2,070,987        12,220,873        0  
18.    To approve the giving of authority for the allotment of new shares by Carnival plc      655,968,292        34,742,151        3,678,539        0  
19.    To approve the disapplication of pre-emption rights in relation to the allotment of new shares by Carnival plc      679,276,611        10,830,050        4,282,321        0  
20.    To approve a general authority for Carnival plc to buy back Carnival plc ordinary shares in the open market      672,281,145        16,930,498        5,177,338        0  
21.    To approve the Amendment of the Carnival Corporation 2020 Stock Plan      499,155,447        16,213,757        2,140,210        176,876,717  
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, each of the registrants has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
Carnival Corporation
     
Carnival plc
By:  
/s/ Enrique Miguez
      By:  
/s/ Enrique Miguez
Name:   Enrique Miguez      Name:   Enrique Miguez
Title:   General Counsel      Title:   General Counsel
Date:   April 26, 2021      Date:   April 26, 2021