SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Schedule 13D
Under the Securities Exchange Act of 1934
(Amendment No. 7)*
Carnival Corporation
Carnival plc
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $0.01 per share, of Carnival Corporation
Special Voting Share of Carnival plc
Trust Shares (representing beneficial interests
in the P&O Princess Special Voting Trust)
------------------------------------------------
(Title of Class of Securities)
Common Stock: 143658 10 2 and 143658 30 0**
Special Voting Share: G7214F 12 2
Trust Shares: 143658 30 0**
--------------------------------------------------------------------------------
(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)
November 16, 2004
--------------------------------------------------------------------------------
(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 that is the subject of this Schedule 13D, and is filing this
schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box. [ ]
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7 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).
** The Common Stock and the Trust Shares trade together under CUSIP Number
143658 30 0. See Items 1 and 4 of this Schedule 13D for additional information.
2
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 3,653,168
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 3,653,168
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
3,653,168
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.6%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 3,653,168
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 365,316
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 3,287,852
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
3,653,168
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.6%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
4
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
NICKEL CONTINUED IRREVOCABLE TRUST
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 2,124,560
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,124,560
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,124,560
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.3%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
5
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 2,539,265
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,539,265
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,539,265
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.4%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
PN
--------------------------------------------------------------------------------
6
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 2,539,265
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,539,265
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,539,265
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.4%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
7
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
NICKEL 1994 "B" TRUST
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 106,114,284
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 106,114,284
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
106,114,284
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
16.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
8
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 106,114,284
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 106,114,284
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
106,114,284
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
16.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
PN
--------------------------------------------------------------------------------
9
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 106,114,284
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 106,114,284
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
106,114,284
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
16.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
10
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 116,554,664
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 89,312,639
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 116,154,664
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 91,145,079
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
202,652,821
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[X]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
32.0%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
11
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
ETERNITY ONE TRUST
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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 Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 5,102,708
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
5,102,708
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
12
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
TED ARISON CONTINUED IRREVOCABLE TRUST FOR SHARI ARISON
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 3,000,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 3,000,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 759,010
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
3,759,010
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.6%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
13
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 4,000,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 1,200
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 5,103,908
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
5,103,908
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
14
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 13,265,502
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 11,747,482
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 44,128,850
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
55,876,332
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
8.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
15
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names 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 (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 38,352,218
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 89,312,639
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 36,834,198
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 117,348,815
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
154,183,013
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
24.4%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
16
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
ARTSFARE 1992 IRREVOCABLE TRUST
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 42,610,830
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
42,610,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
6.7%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
17
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
THE TED ARISON FAMILY FOUNDATION USA, INC.
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
-0-
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.0%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
18
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
COUTTS (JERSEY) LIMITED
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 42,610,830
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
42,610,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
6.7%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
19
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
JMD PROTECTOR, INC.
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 25,085,716
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 89,312,639
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 114,398,355
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
114,398,355
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
18.1%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
20
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
JPMORGAN TRUST COMPANY OF DELAWARE
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 5,102,708
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
5,102,708
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
21
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
ARTSFARE 2003 TRUST
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 400,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 1,032,440
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
1,432,440
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.2%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
22
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
MBA I, L.P.
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 400,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 400,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 1,032,440
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
1,432,440
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.2%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
23
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
JAFASA CONTINUED IRREVOCABLE TRUST
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 3,000,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 3,000,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 759,010
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
3,759,010
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.6%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
24
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
THE 1999 JAFASA IRREVOCABLE DELAWARE TRUST
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
-0-
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.0%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
25
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
JJO DELAWARE, INC.
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 42,610,830
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
42,610,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
6.7%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
26
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
JOHN J. O'NEIL
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 42,610,830
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
42,610,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
6.7%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
27
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
NICKEL 2003 GRAT
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
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: 3,622,922
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 3,622,922
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
3,622,922
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.6%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
28
The Schedule 13D relating to Carnival Corporation and Carnival plc is
being filed by TAMMS Investment Company, Limited Partnership, TAMMS Management
Corporation, the Nickel Continued Irrevocable Trust, MA 1997 Holdings, L.P., MA
1997 Holdings, Inc., Nickel 1994 "B" Trust, MA 1994 B Shares, L.P., MA 1994 B
Shares, Inc., Micky Arison, Eternity One Trust, the Ted Arison Continued
Irrevocable Trust for Shari Arison, Shari Arison, JMD Delaware, Inc., James M.
Dubin, Artsfare 1992 Irrevocable Trust, The Ted Arison Family Foundation USA,
Inc., Coutts (Jersey) Limited, JMD Protector, Inc., JPMorgan Trust Company of
Delaware, Artsfare 2003 Trust, MBA I, L.P., the Jafasa Continued Irrevocable
Trust, The 1999 Jafasa Irrevocable Delaware Trust, JJO Delaware, Inc., John J.
O'Neil and the Nickel 2003 GRAT (collectively, the "Covered Persons"). This
Amendment No. 7 is being filed because the number of Shares beneficially owned
by the Covered Persons has decreased by an amount in excess of one percent of
the total number of Shares outstanding. Following the filing of this amendment,
The Ted Arison Family Foundation USA, Inc. and The 1999 Jafasa Irrevocable
Delaware Trust will cease to be Reporting Persons. This Schedule 13D is hereby
amended as follows:
ITEM 1. SECURITY AND ISSUER
No material change.
ITEM 2. IDENTITY AND BACKGROUND
On August 26, 2004, the 1997 Irrevocable Trust for Micky Arison changed
its name to Nickel 1997 Irrevocable Trust.
On August 30, 2004, The Marilyn B. Arison 2003 Trust changed its name
to Artsfare 2003 Trust.
On September 10, 2004, the Ted Arison 1992 Irrevocable Trust for Lin
No. 2 changed its name to Artsfare 1992 Irrevocable Trust.
On October 1, 2004, the Shari Arison Irrevocable Guernsey Trust changed
its name to Eternity One Trust and The Ted Arison 1994 Irrevocable Trust for
Shari No. 1 changed its name to Eternity Four Trust.
On October 18, 2004, The Ted Arison Continued Irrevocable Trust for
Micky Arison changed its name to Nickel Continued Irrevocable Trust, the Micky
Arison 1994 "B" Trust changed its name to Nickel 1994 "B" Trust, the Micky
Arison 2003 GRAT changed its name to Nickel 2003 GRAT and the Micky Arison 2003
Revocable Trust changed its name to Nickel 2003 Revocable Trust.
On October 1, 2004, Smith Barney Corporate Trust Company became the
sole trustee of the Eternity Four Trust, succeeding the former co-trustees
Cititrust (Jersey) Limited, JMD Delaware, Inc. and JJO Delaware, Inc.
Item 2 is hereby further amended by deleting paragraph (c)(xiii) and
replacing it with the following:
29
"Eternity One Trust is a Guernsey trust established for the benefit of
Shari Arison. The business address of Eternity One Trust is c/o JPMorgan Trust
Company of Delaware, 500 Stanton Christiana Road, Newark, Delaware 19713. The
sole trustee of the Eternity One Trust is JPMorgan Trust Company of Delaware.
The name, residence or business address and principal occupation or employment
of each director, executive officer and controlling person of JPMorgan Trust
Company of Delaware are as follows:
RESIDENCE OR PRINCIPAL OCCUPATION
NAME BUSINESS ADDRESS OR EMPLOYMENT
---- ---------------- -------------
CMC Holding Delaware Inc. 1201 N. Market St., Wilmington, Controlling Person
Delaware 19801
16 Algonquin Road, Holmdel, New
Sean A. Amery Jersey 07733 Director
Paula M. Baker 345 Park Avenue, New York, New York Director
Wilson J.C. Braun, Jr. One Liberty Place, Philadelphia, Director
Pennsylvania
David A. Diamond 500 Stanton Christiana Road, Director
Newark, Delaware
Vernon M. Schreiner 300 Crescent Court, Dallas, Texas Director
David D. Wakefield 255 Pond View, Chadds Ford, Director"
Pennsylvania
Item 2 is hereby further amended by deleting paragraph (c)(xxii).
Item 2 is hereby further amended by deleting the second paragraph of
(a) and replacing it with the following:
"Micky Arison is the Chairman, Chief Executive Officer and a Director
of Carnival Corporation and Carnival plc, President and Treasurer of TAMMS Corp.
and beneficiary of Nickel Continued Irrevocable Trust and the B Trust. Shari
Arison is the beneficiary of Eternity One Trust, the Shari Arison Continued
Trust and Eternity Four Trust. Michael Arison is the beneficiary of the Jafasa
Continued Irrevocable Trust and The 1999 Jafasa Irrevocable Delaware Trust.
Micky Arison and Shari Arison are siblings. James M. Dubin is (i) the sole
shareholder and an officer of JMD Delaware, the corporate trustee of the B
Trust, the Shari Arison Continued Trust, Nickel Continued Irrevocable Trust, the
Jafasa Continued Irrevocable Trust, The 1999 Jafasa Irrevocable Delaware Trust
and Nickel 2003 GRAT, and the co-trustee of Artsfare 1992 Irrevocable Trust and
Nickel 1997 Irrevocable
30
Trust, (ii) the sole shareholder and an officer of JMD Protector, the corporate
protector of Artsfare 1992 Irrevocable Trust, Eternity One Trust, Eternity Four
Trust and The 1999 Jafasa Irrevocable Delaware Trust, (iii) the sole trustee for
Artsfare 2003 Trust, and (iv) President of MA 1997 Holdings, Inc. and MA 1994 B
Shares, Inc. John J. O'Neil is the sole shareholder and an officer of JJO
Delaware, the co-trustee of Artsfare 1992 Irrevocable Trust and Nickel 1997
Irrevocable Trust, and Vice President, Treasurer and Assistant Secretary of MA
1997 Holdings, Inc. and MA 1994 B Shares, Inc."
Item 2 is hereby further amended by deleting paragraph (a)(xx).
Item 2 is hereby further amended by deleting paragraph (a)(xxii) and
replacing it with the following:
"(xxii) JPMorgan Trust Company of Delaware;"
Item 2 is hereby further amended by deleting paragraph (c)(xx).
Item 2 is hereby further amended by deleting paragraph (c)(xi) and
replacing it with the following:
"(c)(xxii) JPMorgan Trust Company of Delaware is a Delaware
corporation, the principal business of which is to engage in the business of a
trust company. The address of the corporation is 500 Stanton Christiana Road,
Newark, Delaware. The name, residence or business address and principal
occupation or employment of each director, executive officer and controlling
person of JPMorgan Trust Company of Delaware are set forth in Item 2(c)(xi)."
Item 2 is hereby further amended by deleting paragraph (f) and
replacing it with the following:
"(f) The natural persons who are Reporting Persons or officers,
directors or controlling persons of the Reporting Persons have the following
citizenship:
Marilyn Arison, Micky Arison, John J. O'Neil, James M. Dubin, Henry
Eckstein, Eric Goodison, Stanford L. Stevenson, III, Thomas R. Pulsifer,
Walter C. Tuthill, Richard B. Skor, Arnaldo Perez, Sean A. Amery, Paula M.
Baker, Wilson J.C. Braun, Jr., David A. Diamond, Vernon M. Schreiner and
David D. Wakefield: United States;
Shari Arison, Jason Arison and David Arison: Israel and United States;
Madeleine Arison, David William Michael Ballingall, Martin John Hall, Keith
Anthony Luxon, Barry Der ek Poole, John Anthony Heaps, David Neuschaffer
and Susan Gibaut: British; and
Gerhard Hans Mueller: Switzerland."
31
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
No material change.
ITEM 4. PURPOSE OF TRANSACTION.
The aggregate amount of Shares that have been or are to be sold
pursuant to sales plans under Rule 10b5-1 entered into by Reporting Persons on
and after August 28, 2003 is approximately 35 million. In the future, Reporting
Persons may enter into other similar sales plans to sell Shares under Rule
10b5-1.
Pursuant to the terms of the trust agreement of the Nickel 2003 GRAT,
377,078 Shares were returned to Micky Arison on November 4, 2004 from the Nickel
2003 GRAT. On that same day, Micky Arison gifted the 377,078 Shares to the
Nickel 2003 Revocable Trust, which contributed the shares to MA 1997 Holdings,
L.P. Micky Arison beneficially owns all Shares held by the Nickel 2003 GRAT and
MA 1997 Holdings, L.P.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5 is hereby amended and restated in its entirety as follows:
All ownership percentages set forth herein assume that there are
633,273,375 Shares outstanding, based on 633,273,375 shares of Carnival
Corporation Common Stock, representing the total number of shares reported in
the Quarterly Report on Form 10-Q of Carnival Corporation for the quarter ending
August 31, 2004 to be outstanding as of September 30, 2004.
(a) and (b)(i) TAMMS L.P. may be deemed to own beneficially 3,653,168
Shares (approximately 0.6% of the total number of Shares outstanding). TAMMS
L.P. has sole voting power and sole dispositive power over the 3,653,168 Shares
held by TAMMS L.P.
(ii) TAMMS Corp. is the Managing General Partner of TAMMS L.P. and as
such is entitled, pursuant to the Limited Partnership Agreement, to exercise all
voting rights with respect to the Shares held by TAMMS L.P. TAMMS Corp. may be
deemed to own beneficially all the 3,653,168 Shares (approximately 0.6% of the
total number of Shares outstanding) beneficially owned by TAMMS L.P. TAMMS Corp.
has sole voting power over the 3,653,168 Shares directly held by TAMMS L.P.
Pursuant to the Limited Partnership Agreement, the Managing General Partner of
TAMMS L.P. can dispose of up to 10% in value of the property of TAMMS L.P. To
dispose of a greater amount of the property, consent of a majority interest of
the partners in TAMMS L.P. is needed. Thus, TAMMS Corp. has sole dispositive
power over 365,316 Shares held by TAMMS L.P. and shares dispositive power over
the remaining 3,287,852 Shares held by TAMMS L.P.
(iii) Nickel Continued Irrevocable Trust beneficially owns an aggregate
of 2,124,560 Shares (approximately 0.3% of the total number of Shares
outstanding), all of which it holds directly. Nickel Continued Irrevocable Trust
has sole voting and dispositive power with respect to the 2,124,560 Shares held
by it.
32
(iv) MA 1997, L.P. beneficially owns an aggregate of 2,539,265 Shares
(approximately 0.4% of the total number of Shares outstanding), all of which it
holds directly. MA 1997, L.P. has sole voting and dispositive power with respect
to all such Shares that it holds directly.
(v) MA 1997, Inc. beneficially owns an aggregate of 2,539,265 Shares
(approximately 0.4% of the total number of Shares outstanding), by virtue of
being the general partner of MA 1997, L.P. MA 1997, Inc. has sole voting and
dispositive power with respect to all such Shares.
(vi) Nickel 1994 "B" Trust beneficially owns 106,114,284 Shares
(approximately 16.8% of the total number of Shares outstanding), by virtue of
being the sole stockholder of B Shares, Inc., the general partner of B Shares,
L.P. Nickel 1994 "B" Trust has sole voting power and dispositive power with
respect to all such Shares held by B Shares, L.P.
(vii) B Shares, L.P. beneficially owns an aggregate of 106,114,284
Shares (approximately 16.8% of the total number of Shares outstanding), which
its holds directly. B Shares, L.P. has sole voting and dispositive power with
respect to all such Shares.
(viii) B Shares, Inc. beneficially owns an aggregate of 106,114,284
Shares (approximately 16.8% of the total number of Shares outstanding), by
virtue of being the general partner of B Shares, L.P. B Shares, Inc. has sole
voting and dispositive power with respect to all such Shares.
(ix) Micky Arison beneficially owns an aggregate of 202,652,821 Shares
(approximately 32.0% of the total number of Shares outstanding), 624,000 Shares
of which are underlying vested options which he holds directly, 2,539,265 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 Nickel 2003
Revocable Trust, 106,114,284 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 Nickel 1994 "B" Trust, 92,566,832 Shares with respect to
which he has a beneficial interest by virtue of the interest and authority
granted to him under the last will of Ted Arison, dated July 8, 1999 and
1,432,440 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
Artsfare 2003 Trust. Micky Arison has shared dispositive and voting power with
respect to the 42,610,830 Shares held by the Artsfare 1992 Irrevocable Trust and
with respect to 46,701,809 Shares held by the Eternity Four Trust. Micky Arison
has sole voting and dispositive power with respect to the 2,539,265 Shares
indirectly held by the Nickel 2003 Revocable Trust, which is the sole
stockholder of MA 1997, Inc. Micky Arison has shared dispositive power with
respect to 1,032,440 Shares indirectly held by the Artsfare 2003 Trust and the
400,000 Shares indirectly held by the Artsfare 2003 Trust. Micky Arison has sole
voting power over the 400,000 Shares indirectly held by the Artsfare 2003 Trust.
Micky Arison has sole voting and dispositive power with respect to the 3,254,193
Shares held by the Nickel 1997 Irrevocable Trust and the 106,114,284 Shares
indirectly held by the Nickel 1994 "B" Trust. Micky Arison is deemed to be the
beneficial owner of the 624,000 Shares underlying vested options and the
3,622,922 Shares held by the Nickel 2003 GRAT
33
over which he may acquire beneficial ownership at any time by replacing the
trustee or reacquiring the Shares from the Nickel 2003 GRAT by substituting
other property of an equivalent value.
Because of his status as President and Treasurer of TAMMS Corp., Micky
Arison may also be deemed to share voting power with respect to the remaining
2,620,728 Shares beneficially owned by TAMMS L.P. in addition to 1,032,440
Shares held by the Artsfare 2003 Trust. Micky Arison disclaims beneficial
ownership of the 2,620,728 Shares 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 the 2,620,728 Shares held by TAMMS L.P.
(x) Eternity One Trust beneficially owns an aggregate of 5,102,708
Shares (approximately 0.8% of the total number of Shares outstanding), 4,000,000
of which it owns directly and 1,102,708 of which it holds beneficially by virtue
of its interest in TAMMS L.P. Eternity One Trust has shared dispositive power
over all such Shares.
(xi) The Shari Arison Continued Trust beneficially owns an aggregate of
3,759,010 Shares (approximately 0.6% of the total number of Shares outstanding),
3,000,000 of which it holds directly and 759,010 of which it holds beneficially
by virtue of its interest in TAMMS L.P. The Shari Arison Continued Trust has
sole voting and dispositive power with respect to the 3,000,000 Shares held by
it and shares dispositive power over the 759,010 Shares held by TAMMS L.P.
(xii) Shari Arison beneficially owns 5,103,908 Shares (approximately
0.8% of the total number of Shares outstanding). Shari Arison has sole voting
power and shared dispositive power with respect to 4,000,000 Shares directly
held by Eternity One Trust and shared dispositive power with respect to the
trust's ownership interest in the 1,102,708 Shares held by TAMMS L.P. Ms. Arison
also may be deemed to beneficially own 1,200 Shares held by her children and
have shared voting and dispositive power over such Shares. Ms. Arison disclaims
beneficial ownership of such Shares held by her children.
(xiii) JMD Delaware beneficially owns an aggregate of 55,876,332 Shares
(approximately 8.8% of the total number of Shares outstanding), by virtue of
being the trustee of the Shari Arison Continued Trust, the Nickel Continued
Irrevocable Trust, the Jafasa Continued Trust and the Nickel 2003 GRAT, and the
co-trustee of Artsfare 1992 Irrevocable Trust. JMD Delaware has sole voting and
dispositive power with respect to the Shares held by the Nickel Continued
Irrevocable Trust, the Nickel 2003 GRAT and certain Shares held by each of the
Shari Arison Continued Trust and the Jafasa Continued Trust. JMD Delaware has
sole voting and shared dispositive power with respect to certain Shares held by
each of the Shari Arison Continued Trust and the Jafasa Continued Trust. JMD
Delaware has shared dispositive power with respect to the Shares held by
Artsfare 1992 Irrevocable Trust. Accordingly, JMD Delaware may be deemed to
beneficially own such Shares for which it expresses voting and dispositive
power. JMD Delaware disclaims beneficial ownership of all such Shares.
34
(xiv) James M. Dubin beneficially owns an aggregate of 154,183,013
Shares (approximately 24.4% of the total number of Shares outstanding), 1,000
Shares of which he holds directly and 154,182,013 Shares with respect to which
he has a beneficial interest by virtue of being the sole shareholder of JMD
Delaware and JMD Protector and the sole trustee of the Artsfare 2003 Trust.
Accordingly, Mr. Dubin may be deemed to beneficially own such Shares for which
he exercises voting and dispositive power. Mr. Dubin disclaims beneficial
ownership of all such Shares, except for the 1,000 Shares he holds directly.
(xv) Artsfare 1992 Irrevocable Trust beneficially owns the 42,610,830
Shares for which it exercises shared dispositive power (approximately 6.7% of
the total number of Shares outstanding).
(xvi) The Foundation beneficially owns no Shares.
(xvii) Coutts beneficially owns 42,610,830 Shares (approximately 6.7%
of the total number of Shares outstanding), by virtue of being the co-trustee of
Artsfare 1992 Irrevocable Trust. Coutts has shared dispositive power with
respect to the Shares held by Artsfare 1992 Irrevocable Trust. Accordingly,
Coutts may be deemed to beneficially own such Shares for which it exercises such
dispositive power. Coutts disclaims beneficial ownership of such Shares.
(xviii) JMD Protector beneficially owns an aggregate of 114,389,355
Shares (approximately 18.1% of the total number of Shares outstanding), by
virtue of being the protector of Eternity Four Trust and Artsfare 1992
Irrevocable Trust. JMD Protector has shared dispositive power with respect to
Shares held by Eternity Four Trust and Artsfare 1992 Irrevocable Trust. JMD
Protector has shared voting power with respect to the Shares held by Artsfare
1992 Irrevocable Trust and 46,701,809 Shares held by Eternity Four Trust, and
has sole voting power with respect to 25,085,716 Shares held by Eternity Four
Trust.
(xix) JPMorgan Trust Company of Delaware beneficially owns 5,102,708
Shares (approximately 0.8% of the total number of Shares outstanding), by virtue
of being the sole trustee of Eternity One Trust. JPMorgan Trust Company of
Delaware has shared dispositive power with respect to the 4,000,000 Shares
directly held by Eternity One Trust and 1,102,708 Shares held by TAMMS L.P.
Accordingly, JPMorgan Trust Company of Delaware may be deemed to beneficially
own such Shares for which it exercises shared dispositive power. JPMorgan Trust
Company of Delaware disclaims beneficial ownership of such Shares.
(xx) Artsfare 2003 Trust beneficially owns an aggregate of 1,432,440
Shares (approximately 0.2% of the total number of Shares outstanding), 400,000
of which it holds beneficially by virtue of its interest in MBA and 1,032,440 of
which it holds beneficially by virtue of the limited partnership interest of MBA
in TAMMS, L.P. Artsfare 2003 Trust has shared dispositive power with respect to
the 400,000 Shares directly held by MBA and exercises shared dispositive power
over the 1,032,440 Shares held by TAMMS L.P.
(xxi) MBA beneficially owns an aggregate of 1,432,440 Shares
(approximately 0.2% of the total number of Shares outstanding), 400,000 Shares
of which it
35
holds directly and 1,032,440 Shares of which it owns beneficially by virtue of
its interest in TAMMS L.P. MBA has sole voting and dispositive power over the
400,000 Shares it holds directly and exercises shared dispositive power over the
1,032,440 Shares held by TAMMS L.P.
(xxii) The Jafasa Continued Trust beneficially owns an aggregate of
3,759,010 Shares (approximately 0.6% of the total number of Shares outstanding),
3,000,000 of which it holds directly and 759,010 of which it holds beneficially
by virtue of its interest in TAMMS L.P. The Jafasa Continued Trust has sole
voting and dispositive power with respect to the 3,000,000 Shares held by it and
shares dispositive power over the 759,010 Shares held by TAMMS L.P.
(xxiii) The 1999 Jafasa Trust beneficially owns no Shares.
(xxiv) JJO Delaware beneficially owns an aggregate of 42,610,830 Shares
(approximately 6.7% of the total number of Shares outstanding), by virtue of
being the co-trustee of the Artsfare 1992 Irrevocable Trust. JJO Delaware has
shared dispositive power with respect to the Shares held by Artsfare 1992
Irrevocable Trust. Accordingly, JJO Delaware may be deemed to beneficially own
such Shares for which it exercises shared dispositive power. JJO Delaware
disclaims beneficial ownership of all such Shares.
(xxv) John J. O'Neil beneficially owns an aggregate of 42,610,830
Shares (approximately 6.7% of the total number of Shares outstanding) by virtue
of being the sole shareholder of JJO Delaware. Mr. O'Neil has shared dispositive
power with respect to the Shares held by Artsfare 1992 Irrevocable Trust.
Accordingly, Mr. O'Neil may be deemed to beneficially own such Shares for which
it exercises shared dispositive power. Mr. O'Neil disclaims beneficial ownership
of all such Shares.
(xxvi) The Nickel 2003 GRAT owns an aggregate of 3,622,922 Shares
(approximately 0.6% of the total number of Shares outstanding). The Nickel 2003
GRAT has sole voting power and sole dispositive power with respect to the
3,622,922 Shares held by it.
(xxvii) The Reporting Persons, as a group, beneficially own an
aggregate of 246,171,857 Shares (approximately 38.9% of the total number of
Shares outstanding). The Reporting Persons, as a group, have sole voting and
dispositive power over all such Shares.
(c) (i) During the past 60 days, Nickel 1997 Irrevocable Trust(1) has
sold Shares in open market transactions on the New York Stock Exchange as
follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
September 17, 2004 50,000 $48.4608
September 21, 2004 50,000 $48.3582
September 22, 2004 20,000 $48.0522
September 23, 2004 80,000 $47.7278
September 28, 2004 40,000 $47.8292
September 29, 2004 40,000 $47.3012
36
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
September 30, 2004 106,600 $47.3514
October 1, 2004 3,000 $47.8572
October 4, 2004 128,000 $48.8505
October 6, 2004 57,100 $48.9758
October 7, 2004 19,000 $49.1263
October 8, 2004 30,700 $48.8251
October 12, 2004 110,000 $48.3337
October 13, 2004 30,000 $48.7540
October 14, 2004 110,000 $48.8804
October 15, 2004 2,500 $49.2456
October 18, 2004 30,000 $49.0709
October 19, 2004 30,000 $49.3857
October 20, 2004 128,000 $49.2621
October 21, 2004 50,000 $49.5581
October 25, 2004 75,000 $49.9943
October 26, 2004 50,000 $50.4039
October 28, 2004 100,000 $50.5603
October 29, 2004 100,000 $50.4826
November 1, 2004 60,000 $51.0149
November 2, 2004 76,600 $51.6002
November 3, 2004 100,000 $51.9750
November 4, 2004 106,000 $52.5857
November 5, 2004 30,000 $52.7867
November 9, 2004 88,000 $52.1784
November 10, 2004 40,000 $52.8002
November 11, 2004 20,700 $53.2581
November 12, 2004 85,000 $53.4885
November 16, 2004 25,000 $52.4960
--------------
(1) Micky Arison reports beneficial ownership of the Shares held by Nickel
1997 Irrevocable Trust.
(c) (ii) During the past 60 days, Artsfare 1992 Trust(2) has sold
Shares in open market transactions on the New York Stock Exchange as follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
September 17, 2004 15,000 $48.4440
September 21, 2004 21,000 $48.3510
September 22, 2004 4,000 $48.0075
September 23, 2004 10,000 $47.7835
September 28, 2004 5,000 $47.8060
September 29, 2004 12,000 $47.3275
37
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
September 30, 2004 27,000 $47.3911
October 1, 2004 2,000 $47.8475
October 4, 2004 32,000 $48.8998
October 6, 2004 15,000 $49.0327
October 7, 2004 1,500 $49.0000
October 8, 2004 10,000 $48.8457
October 12, 2004 25,000 $48.3846
October 13, 2004 3,000 $48.6217
October 14, 2004 25,000 $48.8725
October 15, 2004 1,500 $49.2300
October 18, 2004 6,000 $49.0645
October 19, 2004 3,000 $49.4450
October 20, 2004 32,000 $49.4168
October 21, 2004 10,000 $49.5482
October 25, 2004 20,000 $50.0048
October 26, 2004 6,000 $50.4367
October 28, 2004 15,000 $50.5562
October 29, 2004 20,000 $50.4746
November 1, 2004 10,000 $51.0017
November 2, 2004 20,000 $51.6760
November 3, 2004 25,000 $51.9711
November 4, 2004 24,000 $52.5667
November 5, 2004 5,000 $52.8000
November 9, 2004 22,000 $52.1817
November 10, 2004 10,000 $52.8009
November 11, 2004 10,000 $53.2592
November 12, 2004 20,000 $53.4794
November 16, 2004 6,000 $52.4258
------------
(2) Each of Micky Arison, JMD Delaware, James M. Dubin, Coutts, JMD
Protector, JJO Delaware and John J. O'Neil also report beneficial
ownership of the Shares held by Artsfare 1992 Trust.
(c) (iii) During the past 60 days, the 1999 Jafasa Trust(3) has sold
Shares in open market transactions on the New York Stock Exchange as follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
September 17, 2004 10,000 $48.4103
September 21, 2004 21,000 $48.3721
September 22, 2004 4,000 $48.0125
September 23, 2004 15,000 $47.7723
September 28, 2004 10,000 $47.8247
38
September 29, 2004 24,000 $47.3272
------------
(3) Each of Micky Arison, James M. Dubin and JMD Delaware also report
beneficial ownership of the Shares held by the 1999 Jafasa Trust.
(c) (iv) During the past 60 days, the Foundation(4) has sold Shares in
open market transactions on the New York Stock Exchange as follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
September 22, 2004 15,000 $48.0530
September 23, 2004 60,000 $47.7335
September 28, 2004 30,000 $47.8380
September 29, 2004 30,000 $47.3026
September 30, 2004 81,400 $47.3785
October 1, 2004 20,000 $47.8611
October 4, 2004 94,000 $48.8694
October 6, 2004 45,000 $48.9886
October 7, 2004 19,000 $49.1263
October 8, 2004 26,500 $48.8306
October 12, 2004 70,000 $48.3628
October 13, 2004 20,000 $48.7558
October 14, 2004 75,000 $48.8838
October 15, 2004 2,500 $49.2456
October 18, 2004 20,000 $49.0832
October 19, 2004 20,000 $49.4029
October 20, 2004 51,779 $49.1681
--------------
(4) Shari Arison also reports beneficial ownership of the Shares held by
the Foundation.
(c) (v) During the past 60 days, the Jafasa Continued Trust(5) has sold
Shares in open market transactions on the New York Stock Exchange as follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
September 22, 2004 7,000 $48.0063
September 23, 2004 15,000 $47.7789
September 28, 2004 10,000 $47.8260
September 29, 2004 14,000 $47.3411
September 30, 2004 34,000 $47.3971
October 1, 2004 3,000 $47.8620
October 4, 2004 42,000 $48.8999
October 6, 2004 20,000 $49.0314
39
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
October 7, 2004 2,500 $49.0000
October 8, 2004 10,000 $48.8483
October 12, 2004 30,000 $48.3889
October 13, 2004 7,000 $48.6557
October 14, 2004 30,000 $48.8700
October 15, 2004 1,500 $49.2300
October 18, 2004 9,000 $49.0656
October 19, 2004 4,000 $49.4480
October 20, 2004 42,000 $49.3979
October 21, 2004 15,000 $49.5448
October 25, 2004 25,000 $50.0024
October 26, 2004 9,000 $50.4389
October 28, 2004 20,000 $50.5582
October 29, 2004 53,550 $50.4964
------------
(5) Each of JMD Delaware and James M. Dubin also report beneficial
ownership of the Shares held by the Jafasa Continued Trust.
Except as set forth in this paragraph (c) and in Item 4, to the best of
the knowledge of each of the Reporting Persons, none of the persons named in
response to paragraph (a) has effected any transactions in the Shares during the
past 60 days.
(d) Each of the Reporting Persons affirms that no person other than
such Reporting Person has the right to receive or the power to direct the
receipt of dividends from, or the proceeds from the sale of, the Shares owned by
such Reporting Person.
(e) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Item 6 is hereby amended by adding the following:
The sole trustee of Jafasa Continued Irrevocable Trust, JMD Delaware,
Inc., solely in its capacity as trustee of the Jafasa Continued Irrevocable
Trust, entered into a Pledge Agreement, dated as of August 26, 2004, pursuant to
which 2,000,000 Shares held by the Jafasa Continued Irrevocable Trust were
pledged to The Northern Trust Company to secure a loan.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Item 7 is hereby amended by deleting Exhibits 11, 12, 13 and 14.
The following exhibit has been filed with this Schedule 13D.
40
Exhibit 29 Joint Filing Agreement, dated as of November 19, 2004, among
TAMMS L.P., TAMMS Corp., Nickel Continued Irrevocable Trust,
MA 1997, L.P., MA 1997, Inc., Nickel 1994 "B" Trust, B Shares,
L.P., B Shares, Inc., Micky Arison, Eternity One Trust, the
Shari Arison Continued Trust, Shari Arison, JMD Delaware,
James M. Dubin, Artsfare 1992 Irrevocable Trust, the
Foundation, Coutts, JMD Protector, JPMorgan Trust Company of
Delaware, the Artsfare 2003 Trust, MBA, the Jafasa Continued
Trust, the 1999 Jafasa Trust, JJO Delaware, John J. O'Neil and
the Nickel 2003 GRAT.
Exhibit 30 Pledge Agreement, dated as of August 26, 2004, by and among
Jafasa Continued Irrevocable Trust, The Northern Trust Company
and SunTrust Bank.
Exhibit 31 Power of Attorney, dated as of October 29, 2004, by Eternity
One Trust and JPMorgan Trust Company of Delaware.
41
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: November 19, 2004
ARTSFARE 1992 IRREVOCABLE TRUST
ARTSFARE 2003 TRUST
COUTTS (JERSEY) LIMITED
ETERNITY ONE TRUST
JAFASA CONTINUED IRREVOCABLE TRUST
JAMES M. DUBIN
JJO DELAWARE, INC.
JMD DELAWARE, INC.
JMD PROTECTOR, INC.
JOHN J. O'NEIL
JPMORGAN TRUST COMPANY OF DELAWARE
MA 1994 B SHARES, INC.
MA 1994 B SHARES, L.P.
MA 1997 HOLDINGS, INC.
MA 1997 HOLDINGS, L.P.
MBA I, L.P.
MICKY ARISON
NICKEL 1994 "B" TRUST
NICKEL 2003 GRAT
NICKEL CONTINUED IRREVOCABLE TRUST
SHARI ARISON
TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP
TAMMS MANAGEMENT CORPORATION
TED ARISON CONTINUED IRREVOCABLE TRUST FOR SHARI ARISON
THE 1999 JAFASA IRREVOCABLE DELAWARE TRUST
THE TED ARISON FAMILY FOUNDATION USA, INC.
By: John J. O'Neil, Attorney-in-Fact
/s/ John J. O'Neil
-----------------------------------------
INDEX TO EXHIBITS
EXHIBITS
--------
Exhibit 29 Joint Filing Agreement, dated as of November 19, 2004, among
TAMMS L.P., TAMMS Corp., Nickel Continued Irrevocable Trust,
MA 1997, L.P., MA 1997, Inc., Nickel 1994 "B" Trust, B Shares,
L.P., B Shares, Inc., Micky Arison, Eternity One Trust, the
Shari Arison Continued Trust, Shari Arison, JMD Delaware,
James M. Dubin, Artsfare 1992 Irrevocable Trust, the
Foundation, Coutts, JMD Protector, JPMorgan Trust Company of
Delaware, the Artsfare 2003 Trust, MBA, the Jafasa Continued
Trust, the 1999 Jafasa Trust, JJO Delaware, John J. O'Neil and
the Nickel 2003 GRAT.
Exhibit 30 Pledge Agreement, dated as of August 26, 2004, by and among
Jafasa Continued Irrevocable Trust, The Northern Trust Company
and SunTrust Bank.
Exhibit 31 Power of Attorney, dated as of October 29, 2004, by Eternity
One Trust and JPMorgan Trust Company of Delaware.