SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Schedule 13D
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
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)
AUGUST 26, 2003
--------------------------------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box [_].
Note: Six copies of this statement, including all exhibits, should be filed with
the Commission. See Rule 13d-1(a) for other parties to whom copies are to be
sent.
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or
otherwise subject to the liabilities of that section of the Act but shall be
subject to all other provisions of the Act (however, see the Notes).
** 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
--------------------------------------------------------------------------------
7) Sole Voting Power: 3,653,168
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 3,653,168
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
--------------------------------------------------------------------------------
3
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 3,653,168
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 365,316
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:
THE CONTINUED 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
--------------------------------------------------------------------------------
7) Sole Voting Power: 2,124,560
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 2,124,560
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:
THE MICKY ARISON 1997 HOLDINGS 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
--------------------------------------------------------------------------------
7) Sole Voting Power: 6,102,187
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 6,102,187
With
--------------------------------------------------------
10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
6,102,187
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
1.0%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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, 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
--------------------------------------------------------------------------------
7) Sole Voting Power: 6,102,187
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 6,102,187
With
--------------------------------------------------------
10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
6,102,187
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
1.0%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
PN
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 6,102,187
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 6,102,187
With
--------------------------------------------------------
10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
6,102,187
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
1.0%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 106,114,284
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 106,114,284
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):
16.9%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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, 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
--------------------------------------------------------------------------------
7) Sole Voting Power: 106,114,284
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 106,114,284
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):
16.9%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
PN
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 106,114,284
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 106,114,284
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):
16.9%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 130,562,864
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 93,847,639
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 124,460,677
With
--------------------------------------------------------
10) Shared Dispositive Power: 94,880,079
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
225,442,943
--------------------------------------------------------------------------------
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):
35.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: -0-
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: -0-
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
--------------------------------------------------------------------------------
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 CONTINUED TRUST FOR SHARI ARISON DORSMAN
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 3,000,000
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 3,000,000
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
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: -0-
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: -0-
With
--------------------------------------------------------
10) Shared Dispositive Power: 76,787,525
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
76,787,525
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
12.2%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 6,250,000
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 1,200
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 2,250,000
With
--------------------------------------------------------
10) Shared Dispositive Power: 5,103,908
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
7,353,908
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
1.2%
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 8,724,560
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 1,000,000
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 15,826,747
With
--------------------------------------------------------
10) Shared Dispositive Power: 129,554,083
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
145,780,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
23.2%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 39,211,276
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 97,597,639
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 16,226,747
With
--------------------------------------------------------
10) Shared Dispositive Power: 133,305,083
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
149,531,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
23.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
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 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
--------------------------------------------------------------------------------
7) Sole Voting Power: -0-
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: -0-
With
--------------------------------------------------------
10) Shared Dispositive Power: 46,145,830
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
46,145,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
7.3%
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 2,250,000
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 2,250,000
With
--------------------------------------------------------
10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,250,000
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.4%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: -0-
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: -0-
With
--------------------------------------------------------
10) Shared Dispositive Power: 46,145,830
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
46,145,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
7.3%
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: -0-
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: -0-
With
--------------------------------------------------------
10) Shared Dispositive Power: 76,787,525
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
76,787,525
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
12.2%
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 30,085,716
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 92,847,639
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: -0-
With
--------------------------------------------------------
10) Shared Dispositive Power: 126,683,355
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
126,683,355
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
20.1%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: -0-
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: -0-
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
--------------------------------------------------------------------------------
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 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
--------------------------------------------------------------------------------
7) Sole Voting Power: 400,000
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 400,000
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:
MBA I, LLC
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
7) Sole Voting Power: 400,000
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 400,000
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
--------------------------------------------------------------------------------
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 CONTINUED TRUST FOR MICHAEL 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
--------------------------------------------------------------------------------
7) Sole Voting Power: 4,000,000
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 4,000,000
With
--------------------------------------------------------
10) Shared Dispositive Power: 759,010
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
4,759,010
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.8%
--------------------------------------------------------------------------------
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:
THE MICHAEL ARISON 1999 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
--------------------------------------------------------------------------------
7) Sole Voting Power: -0-
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 1,000,000
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: 1,000,000
With
--------------------------------------------------------
10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
1,000,000
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.2%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: -0-
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: -0-
With
--------------------------------------------------------
10) Shared Dispositive Power: 128,036,063
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
128,036,063
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
20.3%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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:
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
--------------------------------------------------------------------------------
7) Sole Voting Power: -0-
Number of
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by
Each Report- --------------------------------------------------------
ing Person 9) Sole Dispositive Power: -0-
With
--------------------------------------------------------
10) Shared Dispositive Power: 128,036,063
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
128,036,063
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
20.3%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
30
The Schedule 13D relating to Carnival Corporation and Carnival plc is
being filed by TAMMS Investment Company, Limited Partnership, TAMMS Management
Corporation, the Continued Trust for Micky Arison, the Micky Arison 1997
Holdings Trust, 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 Continued Trust for Shari
Arison Dorsman, 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, LLC, the Continued Trust for Michael
Arison, the Michael Arison 1999 Irrevocable Delaware Trust, JJO Delaware, Inc.
and John J. O'Neil. As of August 11, 2003, the Marilyn B. Arison Irrevocable
Delaware Trust ceased to be a Reporting Person. 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)(xxiii) and
replacing it with the following:
"(xxiii) The Marilyn B. Arison 2003 Trust ("Marilyn Arison
2003 Trust");
Item 2 is hereby further amended by deleting the word "and"
before paragraph (a)(xxvi) and adding the following paragraphs (a)(xxvii) and
(a)(xxviii):
"; (xxvii) JJO Delaware, Inc. ("JJO Delaware"); and (xxviii)
John J. O'Neil"
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 the Micky Arison Continued Trust, the Micky
Arison 1997 Trust and the B Trust. Shari Arison is the beneficiary of the Shari
Arison Guernsey Trust, the Shari Arison Continued Trust and the Shari Arison
Trust No. 1. Michael Arison is the beneficiary of the Michael Arison Continued
Trust and the Michael Arison 1999 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 Micky Arison 1997 Trust, the B Trust, the
Shari Arison Continued Trust, the Micky Arison Continued Trust, the Michael
Arison Continued Trust and the Michael Arison 1999 Trust, and the co- trustee of
the Lin Trust No. 2, the Shari Arison Trust No. 1, the Shari Arison Guernsey
Trust and the 1997 Irrevocable Trust for Micky Arison, (ii) the sole shareholder
and an officer of JMD Protector, the corporate protector of the Lin Trust No. 2,
the Shari Arison Trust No. 1, the Michael Arison 1999
31
Trust and the Ted Arison Charitable Trust, (iii) the sole shareholder of
Balluta, the corporate co-trustee of the Shari Arison Guernsey Trust, and (iv)
the sole trustee for the Marilyn Arison 2003 Trust. John J. O'Neil is the sole
shareholder and an officer of JJO Delaware, the co-trustee of the Lin Trust No.
2, the Shari Arison Trust No. 1, the Shari Arison Guernsey Trust and the 1997
Irrevocable Trust for Micky Arison."
Item 2 is hereby further amended by deleting paragraph (c)(xi)
and replacing it with the following:
"(c)(xi) The Shari Arison Guernsey Trust is a Guernsey trust
established for the benefit of Shari Arison. The business address of the Shari
Arison Guernsey Trust is c/o Barings (Guernsey) Limited, P.O. Box 71, Arnold
House, St. Julian's Avenue, St. Peter Port, Guernsey, Channel Islands. The
co-trustees of the Shari Arison Guernsey Trust are JMD Delaware, JJO Delaware
and Balluta. The name, residence or business address and principal occupation or
employment of each director, executive officer and controlling person of JMD
Delaware are set forth in Item 2(c)(iii). The name, residence or business
address and principal occupation or employment of each director, executive
officer and controlling person of JJO Delaware are set forth in Item
2(c)(xxvii). The name, residence or business address and principal occupation or
employment of each director, executive officer and controlling person of Balluta
are as follows:
RESIDENCE OR PRINCIPAL OCCUPATION
NAME BUSINESS ADDRESS OR EMPLOYMENT
---- ---------------- -------------
Robert James Banfield Barings Trustees (Guernsey) Ltd. Executive Director
Trafalgar Court of Barings Trustees
Les Banques (Guernsey) Ltd.
St. Peter Port
Guernsey GY1 3DA
James M. Dubin Paul, Weiss, Rifkind, Attorney-at-Law at
Wharton & Garrison LLP Paul, Weiss, Rifkind,
1285 Avenue of the Americas Wharton & Garrison LLP
New York, New York 10019
Philip Peter Scales Barings (Isle of Man) Limited Managing Director
St. James's Chambers, and Chartered
Athol Street, Douglas, Secretary, Barings
Isle of Man, IM1 1JE (Isle of Man) Limited
Alan Crowther Barings (Isle of Man) Limited Company Secretary,
St. James's Chambers, Barings (Isle of Man)
Athol Street, Douglas, Limited
Isle of Man, IM1 1JE"
Item 2 is hereby further amended by deleting paragraph
(c)(xiii) and replacing it with the following:
32
"(c)(xiii) The Shari Arison Trust No. 1 is a Jersey trust
established for the benefit of Shari Arison. The address of the trust is c/o
Cititrust (Jersey) Limited, P.O. Box 728, 38 Esplanade, St. Helier, Jersey,
Channel Islands. The co-trustees of the trust are JMD Delaware, JJO Delaware and
Cititrust, which is a company organized under the laws of Jersey, Channel
Islands, the principal business of which is the provision of trustee company
services. The name, residence or business address and principal occupation or
employment of each director, executive officer and controlling person of JMD
Delaware are set forth in Item 2(c)(iii). The name, residence or business
address and principal occupation or employment of each director, executive
officer and controlling person of JJO Delaware are set forth in Item
2(c)(xxvii). The name, residence or business address and principal occupation or
employment of each director, executive officer and controlling person of
Cititrust are as follows:
RESIDENCE OR PRINCIPAL OCCUPATION
NAME BUSINESS ADDRESS OR EMPLOYMENT
---- ---------------- -------------
Citicorp Overseas Corp Common Controlling Person
Investment Corporation 1 Penn's Way 1-1
Newcastle, Delaware 19720
Debbie Sebire Cititrust (Jersey) Limited Director
38 Esplanade, St. Helier,
Jersey, Channel Islands
Anthony Daly Cititrust (Jersey) Limited Director
38 Esplanade, St. Helier,
Jersey, Channel Islands
Clive Jones Cititrust (Jersey) Limited Director
38 Esplanade, St. Helier,
Jersey, Channel Islands
Thomas Rilko Cititrust (Jersey) Limited Director
38 Esplanade, St. Helier,
Jersey, Channel Islands
D. Smith Freeman Citigroup Center Director
153 East 53rd Street
New York, New York 10011
Maria del Carmen Butler Cititrust (Bahamas) Limited Director
Thompson Boulevard
Nassau, Bahamas"
Breege, Jude Cititrust (Jersey) Limited Director
38 Esplanade, St. Helier,
Jersey, Channel Islands
33
RESIDENCE OR PRINCIPAL OCCUPATION
NAME BUSINESS ADDRESS OR EMPLOYMENT
---- ---------------- -------------
Susan Gibaut Cititrust (Jersey) Limited Director
38 Esplanade, St. Helier,
Jersey, Channel Islands
Item 2 is hereby further amended by deleting paragraph
(c)(xvi) and replacing it with the following:
"(c)(xvi) James M. Dubin is a partner at the law firm of Paul,
Weiss, Rifkind, Wharton & Garrison LLP. Mr. Dubin is the sole stockholder of JMD
Delaware, a Delaware corporation whose principal purpose is to serve as trustee
for certain trusts established for the benefit of members of the Arison family,
the sole stockholder of JMD Protector, a Delaware corporation whose principal
purpose is to serve as protector for certain trusts established for the benefit
of members of the Arison family, the sole stockholder of Balluta, an Isle of Man
corporation whose principal purpose is to serve as trustee for the Shari Arison
Guernsey Trust and the sole trustee of the Marilyn Arison 2003 Trust. Mr.
Dubin's business address is Paul, Weiss, Rifkind, Wharton & Garrison LLP, 1285
Avenue of the Americas, New York, New York 10019-6064."
Item 2 is hereby further amended by deleting paragraph
(c)(xvii) and replacing it with the following:
"(c)(xvii) Lin Trust No. 2 is a Jersey trust established for
the benefit of Marilyn B. Arison. The address of the trust is c/o Coutts
(Jersey) Limited, P.O. Box 6, 23-25 Broad Street, St. Helier, Jersey JE4 8 ND,
Channels Islands. The co-trustees of the trust are JMD Delaware, JJO Delaware
and Coutts, which is a company organized under the laws of Jersey, Channels
Islands, the principal business of which is the provision of trustee company
services. The name, residence or business address and principal occupation or
employment of each director, executive officer and controlling person of JMD
Delaware are set forth in Item 2(c)(iii). The name, residence or business
address and principal occupation or employment of each director, executive
officer and controlling person of JJO Delaware are set forth in Item
2(c)(xxvii). The name, residence or business address and principal occupation or
employment of each director, executive officer and controlling person of Coutts
are as follows:
RESIDENCE OR PRINCIPAL OCCUPATION
NAME BUSINESS ADDRESS OR EMPLOYMENT
---- ---------------- -------------
The Royal Bank of Royal Bank House, Controlling Person
Scotland International P.O. Box 64
(Holdings) Limited 71 Bath Street, St. Helier
Jersey JE4 8 ND, Channel Islands
34
RESIDENCE OR PRINCIPAL OCCUPATION
NAME BUSINESS ADDRESS OR EMPLOYMENT
---- ---------------- -------------
John Anthony Heaps c/o Coutts (Jersey) Limited Director
P.O. Box 6
23-25 Broad Street, St. Helier
Jersey JE4 8 ND, Channel Islands
David Neuschaffer c/o Coutts (Jersey) Limited Director
P.O. Box 6
23-25 Broad Street, St. Helier
Jersey JE4 8 ND, Channel Islands
Barry Derek Poole c/o Coutts (Jersey) Limited Director
P.O. Box 6
23-25 Broad Street, St. Helier
Jersey JE4 8 ND, Channel Islands
David William Michael c/o Coutts (Jersey) Limited Director
Ballingall P.O. Box 6
23-25 Broad Street, St. Helier
Jersey JE4 8 ND, Channel Islands
Martin John Hall c/o Coutts (Isle of Man) Limited Director
Coutts House
Summerville Road
Onchan
Isle of Man IM3 1RB
Keith Anthony Luxon c/o Coutts (Monaco) SAM Director
George V
14 Avenue de Grande-Bretagne
Monte Carlo
MC98000 Monaco
Gerhard Hans Mueller c/o Coutts Bank (Switzerland) AG Director
Brandschenkestrasse 5
8022 Zurich, Switzerland"
Item 2 is hereby further amended by deleting paragraph
(c)(xxiii) and replacing it with the following:
"(c)(xxiii) The Marilyn Arison 2003 Trust is a Florida trust
established for the benefit of Marilyn B. Arison. The business address of the
Marilyn Arison 2003 Trust is c/o James M. Dubin, Paul, Weiss, Rifkind, Wharton &
Garrison LLP, 1285 Avenue of the Americas, New York, New York 10019-6064. The
sole trustee of the Marilyn Arison 2003 Trust is James M. Dubin. The name,
residence or business address and principal occupation or employment of James M.
Dubin are set forth in Item 2(c)(xvi)."
35
Item 2 is hereby further amended by adding the following as a
new paragraph (c)(xxvii) and replacing it with the following:
"(c)(xxvii) JJO Delaware is a Delaware corporation whose
principal purpose is to serve as trustee for certain trusts established for the
benefit of members of the Arison family. The business address of JJO Delaware is
1201 North Market Street, Wilmington, Delaware 19899-1347. The name, residence
or business address and principal occupation or employment of each director,
executive officer and controlling person of JJO Delaware are as follows:
RESIDENCE OR PRINCIPAL OCCUPATION
NAME BUSINESS ADDRESS OR EMPLOYMENT
---- ---------------- -------------
John J. O'Neil Paul, Weiss, Rifkind, Wharton Attorney-at-Law at
& Garrison LLP Paul, Weiss, Rifkind,
1285 Avenue of the Americas Wharton & Garrison LLP
New York, New York 10019
Eric Goodison Paul, Weiss, Rifkind, Wharton Attorney-at-Law at
& Garrison LLP Paul, Weiss, Rifkind,
1285 Avenue of the Americas Wharton & Garrison LLP
New York, New York 10019"
James M. Dubin Paul, Weiss, Rifkind, Wharton Attorney-at-Law at
& Garrison LLP Paul, Weiss, Rifkind,
1285 Avenue of the Americas Wharton & Garrison LLP
New York, New York 10019
Stanford L. Morris, Nichols, Arsht & Attorney-at-Law at
Stevenson, III Tunnell MNA&T
1201 N. Market Street
Wilmington, Delaware 19899
Thomas R. Pulsifer Morris, Nichols, Arsht & Attorney-at-Law at
Tunnell MNA&T
1201 N. Market Street
Wilmington, Delaware 19899
Walter C. Tuthill Morris, Nichols, Arsht & Attorney-at-Law at
Tunnell MNA&T
1201 N. Market Street
Wilmington, Delaware 19899
Richard B. Skor AFO LLC President and
P.O. Box 11-1605 Managing Officer
Miami, Florida 33111 of AFO LLC"
36
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, D. Smith Freeman, Walter C. Tuthill, Richard B. Skor and
Arnaldo Perez: United States;
Shari Arison, Jason Arison and David Arison: Israel and United States;
Madeleine Arison, David William Michael Ballingall, Alan Crowther,
Anthony Daly, Martin John Hall, Clive Jones, Keith Anthony Luxon, Barry
Derek Poole, Philip Peter Scales, Debbie Sebire, John Anthony Heaps,
David Neuschaffer, Robert James Banfield, Thomas Rilko and Susan
Gibault: British;
Maria del Carmen Butler: The Bahamas;
Gerhard Hans Mueller: Switzerland; and
Breege Jude: Irish."
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
No material change.
ITEM 4. PURPOSE OF TRANSACTION.
Item 4 is hereby amended by adding the following paragraphs:
On August 26, 2003, Carnival Corporation announced that
members of the Arison family and certain related entities, including some of the
Reporting Persons listed herein, plan to sell up to 32 million Shares over the
next two years in market sales. Of the Shares planned for sale, up to 17 million
Shares are held either directly or indirectly by Micky Arison.
The sellers are selling for tax planning, estate planning and
diversification purposes. A charitable trust is also selling for tax related
reasons. In connection with the sales, the sellers are expected to enter into
one or more sales plans under Rule 10b5-1. Sales plans under Rule 10b5-1 permit
the creation of written plans for buying or selling stock at a time when
insiders are not in possession of material non-public information. Once a plan
is established, the insider does not retain or exercise any discretion over
sales of stock under the plan and the pre-planned trades can be executed at
later dates as set forth in the plan, without regard to any subsequent material
non-public information that the insider might receive.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5 is hereby amended and restated in its entirety as
follows:
37
All ownership percentages set forth herein assume that there
are 629,586,781 Shares outstanding, based on 629,586,781 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, 2003 to be outstanding as of July 11, 2003.
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.
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.
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.
The Micky Arison 1997 Trust beneficially owns 6,102,187 Shares
(approximately 1.0% of the total number of Shares outstanding), by virtue of
being the sole stockholder of MA 1997, Inc. The Micky Arison 1997 Trust has sole
voting and dispositive power with respect to all such Shares.
MA 1997, L.P. beneficially owns an aggregate of 6,102,187
Shares (approximately 1.0% 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.
MA 1997, Inc. beneficially owns an aggregate of 6,102,187
Shares (approximately 1.0% 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.
The B Trust beneficially owns 106,114,284 Shares
(approximately 16.9% 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.
38
B Shares, L.P. beneficially owns an aggregate of 106,114,284
Shares (approximately 16.9% 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.
B Shares, Inc. beneficially owns an aggregate of 106,114,284
Shares (approximately 16.9% 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.
Micky Arison beneficially owns an aggregate of 225,442,943
Shares (approximately 35.8% of the total number of Shares outstanding), 408,000
Shares of which are underlying vested options which he holds directly, 6,102,187
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 1997 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, 111,386,032 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
46,145,830 Shares held by the Lin Trust No. 2, with respect to 46,701,809 Shares
held by the Shari Arison Trust No. 1 and with respect to 1,000,000 Shares held
by the Michael Arison 1999 Trust. Micky Arison has sole voting power with
respect to the 6,102,187 Shares indirectly held by the Micky Arison 1997 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 17,538,393 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 408,000 Shares
underlying vested options.
Because of his status as President and Treasurer of TAMMS
Corp., Micky Arison may be deemed to share voting power with respect to the
3,653,168 Shares beneficially owned by TAMMS L.P. Micky Arison disclaims
beneficial ownership of the 3,653,168 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 any of the Shares held by TAMMS L.P.
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.
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
39
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.
The Shari Arison Trust No. 1 beneficially owns the 76,787,525
Shares for which it exercises shared dispositive power (approximately 12.2% of
the total number of Shares outstanding).
Shari Arison beneficially owns 7,353,908 Shares (approximately
1.2% 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 2,250,000 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.
JMD Delaware beneficially owns an aggregate of 145,780,830
Shares (approximately 23.2% 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 Michael Arison Continued Trust, the Michael Arison
1999 Trust and the Micky Arison 1997 Trust 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 Michael Arison 1999 Trust. JMD Delaware has sole voting and dispositive
power with respect to the Shares held by the Micky Arison Continued Trust and
certain Shares held by each of the Shari Arison Continued Trust and the Michael
Arison 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 Michael Arison Continued Trust. JMD Delaware has sole dispositive
power with respect to the Shares directly held by MA 1997 L.P. by virtue of
being the trustee of the Micky Arison 1997 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.
James M. Dubin beneficially owns an aggregate of 149,531,830
Shares (approximately 23.8% of the total number of Shares outstanding), 1,000
Shares of which he holds directly and 149,530,830 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 Ted Arison Charitable Trust, 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 Michael Arison
1999 Trust. Mr. Dubin has sole voting and dispositive power with respect to the
Shares held by the
40
Micky Arison Continued Trust and certain Shares held by each of the Shari Arison
Continued Trust, the Michael Arison 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 Michael Arison Continued Trust. Mr. Dubin has sole
dispositive power with respect to the Shares indirectly held by the Micky Arison
1997 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.
The Lin Trust No. 2 beneficially owns the 46,145,830 Shares
for which it exercises shared dispositive power (approximately 7.3% of the total
number of Shares outstanding).
The Foundation beneficially owns the 2,250,000 Shares for
which it exercises sole voting and dispositive power (approximately 0.4% of the
total number of Shares outstanding).
Coutts beneficially owns 46,145,830 Shares (approximately 7.3%
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.
Cititrust beneficially owns 76,787,525 Shares (approximately
12.2% 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.
JMD Protector beneficially owns an aggregate of 126,683,355
Shares (approximately 20.1% of the total number of Shares outstanding), by
virtue of being the protector of the Shari Arison Trust No. 1, the Lin Trust No.
2 and the Ted Arison Charitable Trust. 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. JMD Protector has shared voting and dispositive power
with respect to the Shares issued by the Ted Arison Charitable Trust.
Accordingly, JMD Protector may be deemed to beneficially own such Shares for
which it exercises shared voting and dispositive power. JMD Protector disclaims
beneficial ownership of all such Shares.
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
41
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.
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.
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 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.
The Michael Arison Continued Trust beneficially owns an
aggregate of 4,759,010 Shares (approximately 0.8% of the total number of Shares
outstanding), 4,000,000 of which it holds directly and 759,010 of which it holds
beneficially by virtue of its interest in TAMMS L.P. The Michael Arison
Continued Trust has sole voting and dispositive power with respect to the
4,000,000 Shares held by it and shares dispositive power over the 759,010 Shares
held by TAMMS L.P.
The Michael Arison 1999 Trust owns an aggregate of 1,000,000
Shares (approximately 0.2% of the total number of Shares outstanding). The
Michael Arison 1999 Trust has shared voting power and sole dispositive power
with respect to the 1,000,000 Shares held by it.
JJO Delaware beneficially owns an aggregate of 128,036,063
Shares (approximately 20.3% 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.
John J. O'Neil beneficially owns an aggregate of 128,036,063
Shares (approximately 20.3% 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.
42
The Reporting Persons, as a group, beneficially own an
aggregate of 277,276,147 Shares (approximately 43.5% of the total number of
Shares outstanding). The Reporting Persons, as a group, have sole voting and
dispositive power over all such Shares.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER
Item 6 is hereby amended by deleting the second paragraph and
replacing it with the following:
B Shares, L.P. entered into an amended and restated pledge
agreement with JPMorgan Chase Bank, dated as of December 13, 2001, amended on
January 13, 2003 and reaffirmed on July 14, 2003. B Shares, L.P. pledged to the
bank 11,000,000 shares of Common Stock as security under a credit facility.
43
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
The following exhibit has been filed with this Schedule 13D.
Exhibit 17 Joint Filing Agreement, dated as of August 28, 2003, among
TAMMS L.P., TAMMS Corp., the Micky Arison Continued Trust, the
Micky Arison 1997 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, Michael Arison Continued Trust, the Michael Arison
1999 Trust, JJO Delaware and John J. O'Neil.
Exhibit 18 Reaffirmation, dated as of July 14, 2003, executed by B
Shares, L.P. as Exhibit A to the Fifth Modification of Amended
and Restated Credit Agreement, dated as of July 14, 2003,
between Miami Heat Limited Partnership and JPMorgan Chase
Bank.
44
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: August 28, 2003
TAMMS INVESTMENT COMPANY,
LIMITED PARTNERSHIP
By: TAMMS MANAGEMENT
CORPORATION, MANAGING
GENERAL PARTNER
By: /s/ Micky Arison
----------------------------------
Micky Arison, President
TAMMS MANAGEMENT
CORPORATION
By: /s/ Micky Arison
----------------------------------
Micky Arison, President
CONTINUED TRUST FOR MICKY
ARISON, JMD DELAWARE, INC.,
TRUSTEE
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Vice President and Secretary of
Corporate Trustee
MICKY ARISON 1997 HOLDINGS
TRUST, JMD DELAWARE, INC.,
TRUSTEE
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Vice President and Secretary of
Corporate Trustee
MICKY ARISON 1994 "B" TRUST,
JMD DELAWARE, INC., TRUSTEE
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Vice President and Secretary of
Corporate Trustee
MA 1997 HOLDINGS, L.P., MA 1997
HOLDINGS, INC., GENERAL PARTNER
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Secretary
MA 1997 HOLDINGS, INC.
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Secretary
MA 1994 B SHARES, L.P., MA 1994
B SHARES, INC., GENERAL PARTNER
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Secretary
MA 1994 B SHARES, INC.
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Secretary
/s/ Micky Arison
---------------------------------------
Micky Arison
SHARI ARISON IRREVOCABLE
GUERNSEY TRUST, BALLUTA
LIMITED, TRUSTEE
By: /s/ Robert J. Banfield
----------------------------------
Robert J. Banfield
CONTINUED TRUST FOR SHARI
ARISON DORSMAN, JMD
DELAWARE, INC., TRUSTEE
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Vice President and Secretary of
Corporate Trustee
TED ARISON 1994 IRREVOCABLE
TRUST FOR SHARI NO. 1, CITITRUST
(JERSEY) LIMITED, TRUSTEE
By: /s/ Breege Jude
----------------------------------
Breege Jude, Director
/s/ Shari Arison
---------------------------------------
Shari Arison
JMD DELAWARE, INC.
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Vice President and Secretary of
Corporate Trustee
/s/ James M. Dubin
---------------------------------------
James M. Dubin
BALLUTA LIMITED
By: /s/ Robert J. Banfield
----------------------------------
Robert J. Banfield
1992 IRREVOCABLE TRUST FOR LIN
NUMBER TWO, COUTTS (JERSEY)
LIMITED, TRUSTEE
By: /s/ David Ballingall
----------------------------------
David Ballingall
By: /s/ James Nicholls
----------------------------------
James Nicholls
THE TED ARISON FAMILY
FOUNDATION USA, INC.
By: /s/ Arnaldo Perez
----------------------------------
Arnaldo Perez
COUTTS (JERSEY) LIMITED
By: /s/ David Ballingall
----------------------------------
David Ballingall
By: /s/ James Nicholls
----------------------------------
James Nicholls
MBA I, LLC
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Vice President and Secretary
CITITRUST (JERSEY) LIMITED
By: /s/ Breege Jude
----------------------------------
Breege Jude, Director
JMD PROTECTOR, INC.
By: /s/ James M. Dubin
----------------------------------
James M. Dubin
President, Director
MARILYN B. ARISON 2003 TRUST
By: /s/ James M. Dubin
----------------------------------
James M. Dubin
Trustee
CONTINUED TRUST FOR
MICHAEL ARISON, JMD DELAWARE,
INC., TRUSTEE
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Vice President and Secretary of
Corporate Trustee
MICHAEL ARISON 1999
IRREVOCABLE DELAWARE TRUST
JMD DELAWARE, INC., TRUSTEE
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Vice President and Secretary of
Corporate Trustee
JJO DELAWARE, INC.
By: /s/ Stanford L. Stevenson, III
----------------------------------
Stanford L. Stevenson, III
Vice President and Secretary of
Corporate Trustee
/s/ John J. O'Neil
---------------------------------------
John J. O'Neil
INDEX TO EXHIBITS
-----------------
EXHIBITS
--------
Exhibit 17 Joint Filing Agreement, dated as of August 28, 2003, among
TAMMS L.P., TAMMS Corp., the Micky Arison Continued Trust, the
Micky Arison 1997 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, Michael Arison Continued Trust, the Michael Arison 1999
Trust, JJO Delaware and John J. O'Neil.
Exhibit 18 Reaffirmation, dated as of July 14, 2003, executed by B
Shares, L.P. as Exhibit A to the Fifth Modification of Amended
and Restated Credit Agreement, dated as of July 14, 2003,
between Miami Heat Limited Partnership and JPMorgan Chase
Bank.