SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Schedule 13D
Under the Securities Exchange Act of 1934
(Amendment No. 6)*
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)
July 27, 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:
TED ARISON CONTINUED IRREVOCABLE TRUST FOR 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:
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: 2,162,187
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,162,187
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,162,187
--------------------------------------------------------------------------------
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):
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: 2,162,187
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,162,187
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,162,187
--------------------------------------------------------------------------------
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):
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:
THE MICKY ARISON 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: 115,747,826
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 90,605,680
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 115,747,826
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 91,235,120
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
207,385,946
--------------------------------------------------------------------------------
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):
32.8%
--------------------------------------------------------------------------------
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:
THE SHARI ARISON IRREVOCABLE GUERNSEY 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:
THE TED ARISON 1994 IRREVOCABLE TRUST FOR SHARI NO. 1
--------------------------------------------------------------------------------
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:
Jersey, 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: 71,787,525
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
71,787,525
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
11.3%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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:
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: 5,039,435
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 1,200
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 1,039,435
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 5,103,908
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
6,143,343
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
1.0%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
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:
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: 14,478,580
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 403,000
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 13,363,560
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 121,909,124
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
135,272,684
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
21.4%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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:
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: 38,047,276
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 90,605,680
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 38,450,276
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 96,823,408
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
135,273,684
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
21.4%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
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 1992 IRREVOCABLE TRUST FOR LIN NUMBER 2
--------------------------------------------------------------------------------
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: 43,500,871
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
43,500,871
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
6.9%
--------------------------------------------------------------------------------
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:
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: 1,039,435
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 1,039,435
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
1,039,435
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
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:
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: 43,500,871
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
43,500,871
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
6.9%
--------------------------------------------------------------------------------
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:
CITITRUST (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:
Jersey, 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: 71,787,525
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
71,787,525
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
11.3%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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:
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: 90,202,680
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 115,288,396
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
115,288,396
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
18.2%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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:
BALLUTA 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:
Isle of Man
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
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:
THE MARILYN B. ARISON 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: 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
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
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:
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: 3,836,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 3,836,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 759,010
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
4,595,010
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.7%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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:
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: 403,000
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 403,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
403,000
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.1%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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:
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: 120,391,104
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
120,391,104
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
19.0%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
28
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: 120,391,104
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
120,391,104
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
19.0%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
29
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 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: 4,000,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 4,000,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
4,000,000
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
30
The Schedule 13D relating to Carnival Corporation and Carnival plc is
being filed by TAMMS Investment Company, Limited Partnership, TAMMS Management
Corporation, the Ted Arison Continued Irrevocable Trust for Micky Arison, MA
1997 Holdings, L.P., MA 1997 Holdings, Inc., the Micky Arison 1994 "B" Trust, MA
1994 B Shares, L.P., MA 1994 B Shares, Inc., Micky Arison, the Shari Arison
Irrevocable Guernsey Trust, the Ted Arison Continued Irrevocable Trust for Shari
Arison, the Ted Arison 1994 Irrevocable Trust for Shari No. 1, Shari Arison, JMD
Delaware, Inc., James M. Dubin, Ted Arison 1992 Irrevocable Trust for Lin No. 2,
The Ted Arison Family Foundation USA, Inc., Coutts (Jersey) Limited, Cititrust
(Jersey) Limited, JMD Protector, Inc., Balluta Limited, the Marilyn B. Arison
2003 Trust, MBA I, L.P., the Jafasa Continued Irrevocable Trust (formerly known
as the Ted Arison Continued Irrevocable Trust for Michael Arison), The 1999
Jafasa Irrevocable Delaware Trust (formerly known as The 1999 Irrevocable
Delaware Trust for Michael Arison), JJO Delaware, Inc., John J. O'Neil and the
Micky Arison 2003 GRAT (collectively, the "Covered Persons"). This Amendment No.
6 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. This Schedule 13D is hereby amended as follows:
ITEM 1. SECURITY AND ISSUER
No material change.
ITEM 2. IDENTITY AND BACKGROUND
Item 2 is hereby amended by deleting paragraph (a)(iv).
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
No material change.
ITEM 4. PURPOSE OF TRANSACTION.
On May 27, 2004, the Foundation entered into a sales plan
under Rule 10b5-1. Under the plan, the Foundation may sell up to approximately
2.25 million Shares in open market transactions.
On May 27, 2004, the Jafasa Continued Trust entered into a sales plan
under Rule 10b5-1. Under the plan, the Jafasa Continued Trust may sell up to
approximately 1 million Shares in open market transactions.
In the future, other Reporting Persons may enter into similar sales
plans to sell Shares under Rule 10b5-1.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5 is hereby amended and restated in its entirety as follows:
31
All ownership percentages set forth herein assume that there are
633,066,932 Shares outstanding, based on 633,066,932 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
May 31, 2004 to be outstanding as of July 9, 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) The Micky Arison Continued 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. The Micky Arison Continued Trust
has sole voting and dispositive power with respect to the 2,124,560 Shares held
by it.
(iv) MA 1997, L.P. beneficially owns an aggregate of 2,162,187
Shares (approximately 0.3% 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 2,162,187
Shares (approximately 0.3% 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) The 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. The 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.
32
(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 207,385,946
Shares (approximately 32.8% of the total number of Shares outstanding), 552,000
Shares of which are underlying vested options which he holds directly, 2,162,187
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 Micky
Arison 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 B Trust, 97,125,035 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 Marilyn Arison 2003
Trust. Micky Arison has shared dispositive and voting power with respect to the
43,500,871 Shares held by the Lin Trust No. 2 and with respect to 46,701,809
Shares held by the Shari Arison Trust No. 1. Micky Arison has sole voting and
dispositive power with respect to the 2,162,187 Shares indirectly held by the
Micky Arison 2003 Revocable Trust, which is the sole stockholder of MA 1997,
Inc. Micky Arison has shared voting power with respect to 403,000 Shares held by
the 1999 Jafasa Trust. Micky Arison has shared dispositive power with respect to
1,032,440 Shares held by the Marilyn Arison 2003 Trust. Micky Arison has sole
voting and dispositive power with respect to the 6,519,355 Shares held by the
1997 Irrevocable Trust for Micky Arison, the 106,114,284 Shares indirectly held
by the B Trust, the 400,000 Shares held by the Marilyn Arison 2003 Trust and the
552,000 Shares underlying vested options.
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 Marilyn Arison 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) The Shari Arison Guernsey 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. The Shari Arison
Guernsey 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.
33
(xii) The Shari Arison Trust No. 1 beneficially owns the 71,787,525
Shares for which it exercises shared dispositive power (approximately 11.3% of
the total number of Shares outstanding).
(xiii) Shari Arison beneficially owns 6,143,343 Shares (approximately
1.0% 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 the Shari Arison Guernsey Trust and shared dispositive power with
respect to the trust's ownership interest in the 1,102,708 Shares held by TAMMS
L.P. Because Shari Arison is Chairman and President of the Foundation, she may
be deemed to beneficially own the 1,039,435 Shares held by the Foundation and
have sole voting and dispositive power over such Shares. 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 and the Foundation.
(xiv) JMD Delaware beneficially owns an aggregate of 135,272,684
Shares (approximately 21.4% of the total number of Shares outstanding), by
virtue of being the trustee of the Shari Arison Continued Trust, the Micky
Arison Continued Trust, the Jafasa Continued Trust, the 1999 Jafasa Trust and
the 2003 GRAT and the co-trustee of the Lin Trust No. 2, the Shari Arison Trust
No. 1 and the Shari Guernsey Trust. JMD Delaware has shared voting and sole
dispositive power with respect to the Shares held by the 1999 Jafasa Trust. JMD
Delaware has sole voting and dispositive power with respect to the Shares held
by the Micky Arison Continued Trust, the 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 each of Lin Trust No. 2, the Shari Arison Trust No. 1 and the Shari Arison
Guernsey 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.
(xv) James M. Dubin beneficially owns an aggregate of 135,273,684
Shares (approximately 21.4% of the total number of Shares outstanding), 1,000
Shares of which he holds directly and 135,272,684 Shares with respect to which
he has a beneficial interest by virtue of being the sole shareholder of JMD
Delaware, JMD Protector and Balluta and the sole trustee of the Marilyn Arison
2003 Trust. Mr. Dubin has shared voting and dispositive power with respect to
the Shares held by the Lin Trust No. 2 and certain Shares held by the Shari
Arison Trust No. 1. Mr. Dubin has shared voting and sole dispositive power with
respect to the Shares held by the 1999 Jafasa Trust. Mr. Dubin has sole voting
and dispositive power with respect to the Shares held by the Micky Arison
Continued Trust, the 2003 GRAT and certain Shares held by each of the Shari
Arison Continued Trust, the Jafasa Continued Trust and the Shari Arison Trust
No. 1. Mr. Dubin has shared dispositive power with respect to Shares held by the
Shari Arison Guernsey Trust, and certain Shares held by each of the Shari Arison
Continued Trust and the Jafasa Continued 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.
34
(xvi) The Lin Trust No. 2 beneficially owns the 43,500,871 Shares
for which it exercises shared dispositive power (approximately 6.9% of the total
number of Shares outstanding).
(xvii) The Foundation beneficially owns the 1,039,435 Shares for
which it exercises sole voting and dispositive power (approximately 0.2% of the
total number of Shares outstanding).
(xviii) Coutts beneficially owns 43,500,871 Shares (approximately 6.9%
of the total number of Shares outstanding), by virtue of being the co-trustee of
the Lin Trust No. 2. Coutts has shared dispositive power with respect to the
Shares held by the Lin Trust No. 2. Accordingly, Coutts may be deemed to
beneficially own such Shares for which it exercises such dispositive power.
Coutts disclaims beneficial ownership of such Shares.
(xix) Cititrust beneficially owns 71,787,525 Shares (approximately
11.3% of the total number of Shares outstanding), by virtue of being the
co-trustee of the Shari Arison Trust No. 1. Cititrust has shared dispositive
power with respect to the Shares held by the Shari Arison Trust No. 1.
Accordingly, Cititrust may be deemed to beneficially own such Shares for which
it exercises shared dispositive power. Cititrust disclaims beneficial ownership
of such Shares.
(xx) JMD Protector beneficially owns an aggregate of 115,288,396
Shares (approximately 18.2% of the total number of Shares outstanding), by
virtue of being the protector of the Shari Arison Trust No. 1 and the Lin Trust
No. 2. JMD Protector has shared dispositive power with respect to Shares held by
the Shari Arison Trust No. 1 and the Lin Trust No. 2. JMD Protector has shared
voting power with respect to the Shares held by the Lin Trust No. 2 and certain
Shares held by the Shari Arison Trust No. 1, and has sole voting power with
respect to certain Shares held by the Shari Arison Trust No. 1.
(xxi) Balluta beneficially owns 5,102,708 Shares (approximately 0.8%
of the total number of Shares outstanding), by virtue of being the co-trustee of
the Shari Arison Guernsey Trust. Balluta shares dispositive power with respect
to the 4,000,000 Shares directly held by the Shari Arison Guernsey Trust and
with respect to 1,102,708 Shares held by TAMMS L.P. Accordingly, Balluta may be
deemed to beneficially own such Shares for which it exercises shared dispositive
power. Balluta disclaims beneficial ownership of such Shares.
(xxii) The Marilyn Arison 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. The Marilyn Arison 2003 Trust has
sole voting and 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.
(xxiii) 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.
(xxiv) The Jafasa Continued Trust beneficially owns an aggregate of
4,595,010 Shares (approximately 0.7% of the total number of Shares outstanding),
3,836,000 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 3,836,000 Shares held by it and
shares dispositive power over the 759,010 Shares held by TAMMS L.P.
(xxv) The 1999 Jafasa Trust owns an aggregate of 403,000 Shares
(approximately 0.1% of the total number of Shares outstanding). The 1999 Jafasa
Trust has shared voting power and sole dispositive power with respect to the
403,000 Shares held by it.
(xxvi) JJO Delaware beneficially owns an aggregate of 120,391,104
Shares (approximately 19.0% of the total number of Shares outstanding), by
virtue of being the co-trustee of the Shari Arison Guernsey Trust, the Lin Trust
No. 2 and the Shari Arison Trust No. 1. JJO has shared dispositive power with
respect to the Shares held by the Shari Arison Guernsey Trust, the Lin Trust No.
2 and the Shari Arison Trust No. 1. 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.
(xxvii) John J. O'Neil beneficially owns an aggregate of 120,391,104
Shares (approximately 19.0% 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 the Shari Arison Guernsey Trust, the
Lin Trust No. 2 and the Shari Arison Trust No. 1. 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.
(xxviii) The 2003 GRAT owns an aggregate of 4,000,000 Shares
(approximately 0.6% of the total number of Shares outstanding). The 2003 GRAT
has sole voting power and sole dispositive power with respect to the 4,000,000
Shares held by it.
(xxix) The Reporting Persons, as a group, beneficially own an
aggregate of 252,533,495 Shares (approximately 39.9% 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, the 1997 Irrevocable Trust for Micky
Arison(1) has sold Shares in open market transactions on the New York Stock
Exchange as follows:
36
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
June 2, 2004 26,800 $42.3712
June 3, 2004 20,000 $41.7736
June 4, 2004 128,000 $42.1662
June 7, 2004 95,000 $42.7289
June 8, 2004 58,900 $43.2207
June 9, 2004 50,000 $43.5247
June 10, 2004 30,000 $43.3499
June 15, 2004 60,000 $43.5875
June 16, 2004 47,500 $43.9054
June 17, 2004 204,238 $44.8601
June 18, 2004 40,000 $45.3072
June 21, 2004 80,000 $45.5211
June 23, 2004 110,000 $46.1573
June 25, 2004 110,000 $46.8517
June 29, 2004 40,000 $47.0028
June 30, 2004 75,000 $46.9539
July 1, 2004 105,000 $47.5327
July 2, 2004 25,000 $47.9560
July 6, 2004 31,000 $47.7048
July 7, 2004 40,000 $47.5287
July 8, 2004 10,200 $47.5120
July 9, 2004 50,000 $46.5115
July 12, 2004 100,000 $46.5977
July 14, 2004 80,000 $46.2752
July 15, 2005 22,000 $46.0854
July 16, 2004 30,000 $46.0072
July 19, 2004 75,000 $46.0533
July 20, 2004 110,000 $46.0486
July 23, 2004 4,200 $44.7181
July 27, 2004 161,200 $44.7811
-----------
(1) Micky Arison reports beneficial ownership of the Shares held by the 1997
Irrevocable Trust for Micky Arison.
(c) (ii) During the past 60 days, Lin Trust No. 2(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
---- ------------------ ---------------
June 2, 2004 4,500 $42.3640
June 3, 2004 6,000 $41.8062
June 4, 2004 32,000 $42.2549
June 7, 2004 27,000 $42.7263
June 8, 2004 12,500 $43.2274
37
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
June 9, 2004 12,000 $43.5125
June 10, 2004 8,000 $43.3236
June 15, 2004 15,000 $43.6220
June 16, 2004 8,000 $43.9194
June 17, 2004 51,559 $44.9204
June 18, 2004 6,000 $45.3075
June 21, 2004 17,000 $45.5465
June 23, 2004 20,000 $46.2473
June 25, 2004 18,000 $46.8693
June 29, 2004 8,000 $46.9925
June 30, 2004 10,000 $46.9593
July 1, 2004 17,000 $47.5712
July 2, 2004 3,000 $47.8333
July 6, 2004 5,000 $47.7070
July 7, 2004 4,000 $47.5513
July 8, 2004 1,000 $47.2600
July 9, 2004 6,000 $46.5307
July 12, 2004 7,000 $46.6394
July 14, 2004 9,000 $46.2436
July 15, 2004 3,000 $46.0867
July 16, 2004 6,000 $46.0267
July 19, 2004 8,000 $46.0425
July 20, 2004 20,000 $46.1022
July 23, 2004 500 $44.7100
July 27, 2004 49,900 $44.7798
-----------
(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 the Lin Trust No. 2.
(c) (iii) During the past 60 days, the Shari Arison Trust No. 1(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
---- ------------------ ---------------
June 2, 2004 26,300 $42.3690
June 3, 2004 20,000 $41.7751
June 4, 2004 107,000 $42.1579
June 7, 2004 95,000 $42.7289
June 8, 2004 58,800 $43.2206
June 9, 2004 45,000 $43.5213
June 10, 2004 30,000 $43.3472
June 15, 2004 60,000 $43.5875
June 16, 2004 47,500 $43.9054
38
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
June 17, 2004 162,198 $44.8691
June 18, 2004 40,000 $45.3053
June 21, 2004 80,000 $45.5212
June 23, 2004 100,000 $46.1559
June 25, 2004 100,000 $46.8477
June 29, 2004 40,000 $47.0026
June 30, 2004 75,000 $46.9539
July 1, 2004 105,000 $47.5326
July 2, 2004 25,000 $47.9561
July 6, 2004 30,802 $47.7050
July 7, 2004 12,000 $47.5308
July 8, 2004 3,500 $47.2700
July 9, 2004 12,000 $46.5462
July 12, 2004 14,000 $46.6121
July 14, 2004 14,000 $46.2356
July 15, 2005 6,000 $46.0567
July 16, 2004 10,500 $45.9630
------------
(3) Each of Micky Arison, JMD Protector, James M. Dubin, JMD Delaware,
Cititrust and JJO Delaware also report beneficial ownership of the Shares
held by the Shari Arison Trust No. 1.
(c) (iv) During the past 60 days, the 1999 Jafasa Trust (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
---- ------------------ ---------------
June 2, 2004 3,000 $42.0000
June 3, 2004 4,000 $41.8000
June 4, 2004 21,000 $42.2310
June 7, 2004 19,000 $42.7281
June 8, 2004 9,000 $43.2207
June 9, 2004 8,000 $43.4952
June 10, 2004 5,000 $43.3410
June 15, 2004 10,000 $43.6171
June 16, 2004 4,000 $43.9112
June 17, 2004 62,040 $44.9852
June 18, 2004 4,000 $45.2975
June 21, 2004 13,000 $45.5529
June 23, 2004 15,000 $46.2412
June 25, 2004 12,000 $46.8566
June 29, 2004 12,000 $46.9754
June 30, 2004 14,460 $46.9163
July 1, 2004 10,000 $47.5201
39
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
July 2, 2004 2,000 $47.8330
July 6, 2004 4,000 $47.7150
July 7, 2004 3,000 $47.5417
July 8, 2004 500 $47.2600
July 9, 2004 5,000 $46.5258
July 12, 2004 5,000 $46.6320
July 14, 2004 6,000 $46.2432
July 15, 2005 2,000 $46.1125
July 16, 2004 3,500 $45.9917
July 19, 2004 4,500 $46.0489
July 20, 2004 15,000 $46.1000
July 23, 2004 500 $44.7100
July 27, 2004 36,000 $44.7921
-----------
(4) Each of Micky Arison, James M. Dubin and JMD Delaware also report
beneficial ownership of the Shares held by the 1999 Jafasa Trust.
(c) (v) During the past 60 days, the Foundation(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
---- ------------------ ---------------
June 2, 2004 26,200 $42.0000
June 3, 2004 20,000 $41.7719
June 4, 2004 94,000 $42.1289
June 7, 2004 94,000 $42.7269
June 8, 2004 50,000 $43.2041
June 9, 2004 45,000 $43.5181
June 10, 2004 30,000 $43.3477
June 15, 2004 60,000 $43.5875
June 16, 2004 47,500 $43.9206
June 17, 2004 129,965 $44.7905
July 6, 2004 31,000 $47.7049
July 7, 2004 40,000 $47.5286
July 8, 2004 10,200 $47.2512
July 9, 2004 50,000 $46.5105
July 12, 2004 80,000 $46.6297
July 14, 2004 70,000 $46.2590
July 15, 2005 22,000 $46.0854
July 16, 2004 30,000 $46.0072
July 19, 2004 50,000 $46.0400
July 20, 2004 85,000 $46.0295
July 23, 2004 4,400 $44.7189
July 27, 2004 141,300 $44.7238
40
------------
(5) Shari Arison also reports beneficial ownership of the Shares held by the
Foundation.
(c) (vi) During the past 60 days, the Jafasa Continued Trust (6) has
sold Shares in open market transactions on the New York Stock Exchange as
follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
July 6, 2004 5,000 $47.7140
July 7, 2004 5,000 $47.5372
July 8, 2004 2,500 $47.2564
July 9, 2004 8,000 $46.5381
July 12, 2004 10,000 $46.6403
July 14, 2004 8,000 $46.2474
July 15, 2005 5,000 $46.0800
July 16, 2004 8,000 $46.0112
July 19, 2004 9,500 $46.0412
July 20, 2004 30,000 $46.0903
July 23, 2004 1,000 $44.7100
July 27, 2004 72,000 $44.6871
-----------------
(6) 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 pledge by B Shares, L.P. to JPMorgan Chase Bank of 11,000,000
shares of Common Stock pursuant to the Amended and Restated Pledge Agreement
dated as of December 13, 2001 was assigned by JPMorgan Chase Bank to FBA II,
Inc., a wholly-owned subsidiary of the Micky Arison 1997 Trust, and the 1997
Irrevocable Trust for Micky Arison pursuant to an Assignment and Acceptance
Agreement dated as of July 22, 2004 between JPMorgan Chase Bank, FBA II, Inc.
and the 1997 Irrevocable Trust for Micky Arison.
41
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
Item 7 is hereby amended by deleting Exhibit 6 and Exhibit 7.
The following exhibit has been filed with this Schedule 13D.
Exhibit 27 Joint Filing Agreement, dated as of July 30, 2004, among TAMMS
L.P., TAMMS Corp., the Micky Arison Continued Trust, MA 1997,
L.P., MA 1997, Inc., the B Trust, B Shares, L.P., B Shares, Inc.,
Micky Arison, the Shari Arison Guernsey Trust, the Shari Arison
Continued Trust, the Shari Arison Trust No. 1, Shari Arison, JMD
Delaware, James M. Dubin, the Lin Trust No. 2, the Foundation,
Coutts, Cititrust, JMD Protector, Balluta Limited, the Marilyn
Arison 2003 Trust, MBA, the Jafasa Continued Trust, the 1999
Jafasa Trust, JJO Delaware, John J. O'Neil and the 2003 GRAT.
Exhibit 28 Assignment and Acceptance Agreement, dated as of July 22, 2004,
between JPMorgan Chase Bank, FBA II, Inc. and the 1997 Irrevocable
Trust for Micky Arison.
42
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: July 30, 2004
BALLUTA LIMITED
CITITRUST (JERSEY) LIMITED
COUTTS (JERSEY) LIMITED
JAMES M. DUBIN
JJO DELAWARE, INC.
JMD DELAWARE, INC.
JMD PROTECTOR, INC.
JOHN J. O'NEIL
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
MICKY ARISON 2003 GRAT
SHARI ARISON
TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP
TAMMS MANAGEMENT CORPORATION
JAFASA CONTINUED IRREVOCABLE TRUST
TED ARISON CONTINUED IRREVOCABLE TRUST FOR MICKY ARISON
TED ARISON CONTINUED IRREVOCABLE TRUST FOR SHARI ARISON
THE 1999 JAFASA IRREVOCABLE DELAWARE TRUST
THE MARILYN B. ARISON 2003 TRUST
THE MICKY ARISON 1994 "B" TRUST
THE SHARI ARISON IRREVOCABLE GUERNSEY TRUST
THE TED ARISON 1992 IRREVOCABLE TRUST FOR LIN NO. 2
THE TED ARISON 1994 IRREVOCABLE TRUST FOR SHARI NO. 1
THE TED ARISON FAMILY FOUNDATION USA, INC.
TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP
By: John J. O'Neil, Attorney-in-Fact
/s/ John J. O'Neil
-------------------------------------
INDEX TO EXHIBITS
EXHIBITS
Exhibit 27 Joint Filing Agreement, dated as of July 30, 2004, among TAMMS
L.P., TAMMS Corp., the Micky Arison Continued Trust, MA 1997,
L.P., MA 1997, Inc., the B Trust, B Shares, L.P., B Shares,
Inc., Micky Arison, the Shari Arison Guernsey Trust, the Shari
Arison Continued Trust, the Shari Arison Trust No. 1, Shari
Arison, JMD Delaware, James M. Dubin, the Lin Trust No. 2, the
Foundation, Coutts, Cititrust, JMD Protector, Balluta Limited,
the Marilyn Arison 2003 Trust, MBA, the Jafasa Continued
Trust, the 1999 Jafasa Trust, JJO Delaware, John J. O'Neil and
the 2003 GRAT.
Exhibit 28 Assignment and Acceptance Agreement, dated as of July 22,
2004, between JPMorgan Chase Bank, FBA II, Inc. and the 1997
Irrevocable Trust for Micky Arison.