SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Schedule 13D
Under the Securities Exchange Act of 1934
(Amendment No. 5)*
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)
May 14, 2004
--------------------------------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition 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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 3,653,168
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 3,653,168
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
3,653,168
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.6%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
TAMMS MANAGEMENT CORPORATION
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
Not Applicable
--------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6) Citizenship or Place of Organization:
Delaware
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 3,653,168
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 365,316
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 3,287,852
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
3,653,168
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.6%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
4
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
TED ARISON CONTINUED IRREVOCABLE TRUST FOR MICKY ARISON
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
Not Applicable
--------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6) Citizenship or Place of Organization:
Delaware
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 2,124,560
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,124,560
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,124,560
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.3%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
5
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 2,162,187
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,162,187
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,162,187
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.3%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 2,162,187
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,162,187
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,162,187
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.3%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
PN
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 2,162,187
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,162,187
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
2,162,187
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.3%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 106,114,284
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 106,114,284
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
106,114,284
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
16.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 106,114,284
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 106,114,284
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
106,114,284
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
16.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
PN
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 106,114,284
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 106,114,284
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
106,114,284
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
16.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
CO
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 118,154,264
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 91,555,139
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 115,992,077
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 91,786,079
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
210,741,843
--------------------------------------------------------------------------------
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):
33.3%
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: -0-
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 5,102,708
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
5,102,708
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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:
TED ARISON CONTINUED IRREVOCABLE TRUST FOR SHARI ARISON
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
Not Applicable
--------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6) Citizenship or Place of Organization:
Delaware
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 3,000,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 3,000,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 759,010
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
3,759,010
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.6%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: -0-
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 73,579,625
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
73,579,625
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
11.6%
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 6,250,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 1,200
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,250,000
ing Person --------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 14,642,580
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 801,500
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 16,088,247
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 124,252,183
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
140,340,430
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
22.2%
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 40,003,376
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 91,555,139
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 42,967,063
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 97,374,367
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
140,341,430
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
22.2%
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: -0-
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 44,051,830
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
44,051,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
7.0%
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 2,250,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 2,250,000
ing Person --------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: -0-
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 44,051,830
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
44,051,830
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
7.0%
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: -0-
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 73,579,625
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
73,579,625
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
11.6%
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 26,877,816
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 90,753,639
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 117,631,455
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
117,631,455
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
18.6%
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: -0-
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 5,102,708
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
5,102,708
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.8%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 400,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 400,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 1,032,440
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
1,432,440
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.2%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
25
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
MBA I, L.P.
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
Not Applicable
--------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6) Citizenship or Place of Organization:
Delaware
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 400,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 400,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 1,032,440
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
1,432,440
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.2%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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:
JAFASA CONTINUED IRREVOCABLE TRUST
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
Not Applicable
--------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6) Citizenship or Place of Organization:
Delaware
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 4,000,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 4,000,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 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 1999 JAFASA IRREVOCABLE DELAWARE TRUST
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
Not Applicable
--------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6) Citizenship or Place of Organization:
Delaware
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: -0-
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: 801,500
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 801,500
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
801,500
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.1%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: -0-
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 122,734,163
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
122,734,163
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
19.4%
--------------------------------------------------------------------------------
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
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: -0-
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: -0-
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: 122,734,163
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
122,734,163
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
19.4%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
IN
--------------------------------------------------------------------------------
30
CUSIP NO. COMMON STOCK: 143658 10 2 AND 143658 30 0,
SPECIAL VOTING SHARE: G7214F 12 2, TRUST SHARES: 143658 30 0
--------------------------------------------------------------------------------
1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above
Persons:
MICKY ARISON 2003 GRAT
--------------------------------------------------------------------------------
2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [_]
(b) [X]
--------------------------------------------------------------------------------
3) SEC Use Only
--------------------------------------------------------------------------------
4) Source of Funds (See Instructions):
Not Applicable
--------------------------------------------------------------------------------
5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or 2(e)
[_]
--------------------------------------------------------------------------------
6) Citizenship or Place of Organization:
Delaware
--------------------------------------------------------------------------------
Number of 7) Sole Voting Power: 4,000,000
Shares Bene- --------------------------------------------------------
ficially 8) Shared Voting Power: -0-
Owned by --------------------------------------------------------
Each Report- 9) Sole Dispositive Power: 4,000,000
ing Person --------------------------------------------------------
With 10) Shared Dispositive Power: -0-
--------------------------------------------------------------------------------
11) Aggregate Amount Beneficially Owned by Each Reporting Person:
4,000,000
--------------------------------------------------------------------------------
12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
[_]
--------------------------------------------------------------------------------
13) Percent of Class Represented by Amount in Row (11):
0.6%
--------------------------------------------------------------------------------
14) Type of Reporting Person (See Instructions):
OO
--------------------------------------------------------------------------------
31
The Schedule 13D relating to Carnival Corporation and Carnival plc is
being filed by TAMMS Investment Company, Limited Partnership, TAMMS Management
Corporation, the Ted Arison Continued Irrevocable Trust for Micky Arison, 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 Ted Arison
Continued Irrevocable Trust for Shari Arison, the Ted Arison 1994 Irrevocable
Trust for Shari No. 1, Shari Arison, JMD Delaware, Inc., James M. Dubin, Ted
Arison 1992 Irrevocable Trust for Lin No. 2, The Ted Arison Family Foundation
USA, Inc., Coutts (Jersey) Limited, Cititrust (Jersey) Limited, JMD Protector,
Inc., Balluta Limited, the Marilyn B. Arison 2003 Trust, MBA I, L.P., the Jafasa
Continued Irrevocable Trust (formerly known as the Ted Arison Continued
Irrevocable Trust for Michael Arison), The 1999 Jafasa Irrevocable Delaware
Trust (formerly known as The 1999 Irrevocable Delaware Trust for Michael
Arison), JJO Delaware, Inc., John J. O'Neil and the Micky Arison 2003 GRAT
(collectively, the "Covered Persons"). This Amendment No. 5 is being filed
because the number of Shares beneficially owned by the Covered Persons has
decreased by an amount in excess of one percent of the total number of Shares
outstanding. This Schedule 13D is hereby amended as follows:
ITEM 1. SECURITY AND ISSUER
No material change.
ITEM 2. IDENTITY AND BACKGROUND
On May 17, 2004, the Ted Arison Continued Irrevocable Trust for Michael
Arison changed its name to Jafasa Continued Irrevocable Trust (the "Jafasa
Continued Trust").
On May 17, 2004, The 1999 Irrevocable Delaware Trust for Michael Arison
changed its name to The 1999 Jafasa Irrevocable Delaware Trust (the "1999 Jafasa
Trust").
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
No material change.
ITEM 4. PURPOSE OF TRANSACTION.
On March 30, 2004, The 1999 Jafasa Irrevocable Delaware Trust (formerly
known as The 1999 Irrevocable Delaware Trust for Michael Arison) entered into a
sales plan under Rule 10b5-1. Under the plan, The 1999 Jafasa Irrevocable
Delaware Trust may sell up to approximately 1 million Shares in open market
transactions.
On April 1, 2004, The Ted Arison 1992 Irrevocable Trust for Lin No. 2
modified its sales plan under Rule 10b5-1, dated August 28, 2003. The
modification to such sales plan reduced the number of Shares to be sold under
the sales plan from 6,000,000 to 5,000,000.
32
In the future, other Reporting Persons may enter into similar sales
plans to sell Shares under Rule 10b5-1.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
Item 5 is hereby amended and restated in its entirety as follows:
All ownership percentages set forth herein assume that there are
632,678,631 Shares outstanding, based on 632,678,631 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
February 29, 2004 to be outstanding as of April 4, 2004.
(a) and (b)(i) TAMMS L.P. may be deemed to own beneficially 3,653,168
Shares (approximately 0.6% of the total number of Shares outstanding). TAMMS
L.P. has sole voting power and sole dispositive power over the 3,653,168 Shares
held by TAMMS L.P.
(ii) TAMMS Corp. is the Managing General Partner of TAMMS L.P. and
as such is entitled, pursuant to the Limited Partnership Agreement, to exercise
all voting rights with respect to the Shares held by TAMMS L.P. TAMMS Corp. may
be deemed to own beneficially all the 3,653,168 Shares (approximately 0.6% of
the total number of Shares outstanding) beneficially owned by TAMMS L.P. TAMMS
Corp. has sole voting power over the 3,653,168 Shares directly held by TAMMS
L.P. Pursuant to the Limited Partnership Agreement, the Managing General Partner
of TAMMS L.P. can dispose of up to 10% in value of the property of TAMMS L.P. To
dispose of a greater amount of the property, consent of a majority interest of
the partners in TAMMS L.P. is needed. Thus, TAMMS Corp. has sole dispositive
power over 365,316 Shares held by TAMMS L.P. and shares dispositive power over
the remaining 3,287,852 Shares held by TAMMS L.P.
(iii) The Micky Arison Continued Trust beneficially owns an
aggregate of 2,124,560 Shares (approximately 0.3% of the total number of Shares
outstanding), all of which it holds directly. The Micky Arison Continued Trust
has sole voting and dispositive power with respect to the 2,124,560 Shares held
by it.
(iv) The Micky Arison 1997 Trust beneficially owns 2,162,187 Shares
(approximately 0.3% 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.
(v) MA 1997, L.P. beneficially owns an aggregate of 2,162,187
Shares (approximately 0.3% of the total number of Shares outstanding), all of
which it holds directly. MA 1997, L.P. has sole voting and dispositive power
with respect to all such Shares that it holds directly.
(vi) MA 1997, Inc. beneficially owns an aggregate of 2,162,187
Shares (approximately 0.3% of the total number of Shares outstanding), by virtue
of being the
33
general partner of MA 1997, L.P. MA 1997, Inc. has sole voting and dispositive
power with respect to all such Shares.
(vii) The B Trust beneficially owns 106,114,284 Shares
(approximately 16.8% of the total number of Shares outstanding), by virtue of
being the sole stockholder of B Shares, Inc., the general partner of B Shares,
L.P. The B Trust has sole voting power and dispositive power with respect to all
such Shares held by B Shares, L.P.
(viii) B Shares, L.P. beneficially owns an aggregate of 106,114,284
Shares (approximately 16.8% of the total number of Shares outstanding), which
its holds directly. B Shares, L.P. has sole voting and dispositive power with
respect to all such Shares.
(ix) B Shares, Inc. beneficially owns an aggregate of 106,114,284
Shares (approximately 16.8% of the total number of Shares outstanding), by
virtue of being the general partner of B Shares, L.P. B Shares, Inc. has sole
voting and dispositive power with respect to all such Shares.
(x) Micky Arison beneficially owns an aggregate of 210,741,843
Shares (approximately 33.3% of the total number of Shares outstanding), 552,000
Shares of which are underlying vested options which he holds directly, 2,162,187
Shares with respect to which he has a beneficial interest by virtue of the
interest and authority granted to him under the trust instrument for the Micky
Arison 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, 104,532,227 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
44,051,830 Shares held by the Lin Trust No. 2 and with respect to 46,701,809
Shares held by the Shari Arison Trust No. 1. Micky Arison has sole voting power
with respect to the 2,162,187 Shares indirectly held by the Micky Arison 1997
Trust. Micky Arison has shared voting power with respect to 801,500 Shares held
by the 1999 Jafasa Trust. Micky Arison has shared dispositive power with respect
to 1,032,440 Shares held by the Marilyn Arison 2003 Trust. Micky Arison has sole
voting and dispositive power with respect to the 8,925,793 Shares held by the
1997 Irrevocable Trust for Micky Arison, the 106,114,284 Shares indirectly held
by the B Trust, the 400,000 Shares held by the Marilyn Arison 2003 Trust and the
552,000 Shares underlying vested options.
Because of his status as President and Treasurer of TAMMS
Corp., Micky Arison may also be deemed to share voting power with respect to the
remaining 2,620,728 Shares beneficially owned by TAMMS L.P. in addition to
1,032,440 Shares held by the Marilyn Arison 2003 Trust. Micky Arison disclaims
beneficial ownership of the 2,620,728 Shares owned by TAMMS L.P. which are
beneficially owned by the partners of TAMMS L.P. Accordingly, Micky Arison has
not reported beneficial ownership of the 2,620,728 Shares held by TAMMS L.P.
34
(xi) 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.
(xii) The Shari Arison Continued Trust beneficially owns an
aggregate of 3,759,010 Shares (approximately 0.6% of the total number of Shares
outstanding), 3,000,000 of which it holds directly and 759,010 of which it holds
beneficially by virtue of its interest in TAMMS L.P. The Shari Arison Continued
Trust has sole voting and dispositive power with respect to the 3,000,000 Shares
held by it and shares dispositive power over the 759,010 Shares held by TAMMS
L.P.
(xiii) The Shari Arison Trust No. 1 beneficially owns the 73,579,625
Shares for which it exercises shared dispositive power (approximately 11.6% of
the total number of Shares outstanding).
(xiv) 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.
(xv) JMD Delaware beneficially owns an aggregate of 140,340,430
Shares (approximately 22.2% 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 Jafasa Continued Trust, the 1999 Jafasa Trust, the
Micky Arison 1997 Trust and the 2003 GRAT and the co-trustee of the Lin Trust
No. 2, the Shari Arison Trust No. 1 and the Shari Guernsey Trust. JMD Delaware
has shared voting and sole dispositive power with respect to the Shares held by
the 1999 Jafasa Trust. JMD Delaware has sole voting and dispositive power with
respect to the Shares held by the Micky Arison Continued Trust, the 2003 GRAT
and certain Shares held by each of the Shari Arison Continued Trust and the
Jafasa Continued Trust. JMD Delaware has sole voting and shared dispositive
power with respect to certain Shares held by each of the Shari Arison Continued
Trust and the Jafasa Continued Trust. JMD Delaware has sole dispositive power
with respect to 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.
35
(xvi) James M. Dubin beneficially owns an aggregate of 140,341,430
Shares (approximately 22.2% of the total number of Shares outstanding), 1,000
Shares of which he holds directly and 140,340,430 Shares with respect to which
he has a beneficial interest by virtue of being the sole shareholder of JMD
Delaware, JMD Protector and Balluta and the sole trustee of the Marilyn Arison
2003 Trust. Mr. Dubin has shared voting and dispositive power with respect to
the Shares held by the Lin Trust No. 2 and certain Shares held by the Shari
Arison Trust No. 1. Mr. Dubin has shared voting and sole dispositive power with
respect to the Shares held by the 1999 Jafasa Trust. Mr. Dubin has sole voting
and dispositive power with respect to the Shares held by the Micky Arison
Continued Trust, the 2003 GRAT and certain Shares held by each of the Shari
Arison Continued Trust, the Jafasa Continued Trust and the Shari Arison Trust
No. 1. Mr. Dubin has shared dispositive power with respect to Shares held by the
Shari Arison Guernsey Trust, and certain Shares held by each of the Shari Arison
Continued Trust and the Jafasa Continued Trust. 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.
(xvii) The Lin Trust No. 2 beneficially owns the 44,051,830 Shares
for which it exercises shared dispositive power (approximately 7.0% of the total
number of Shares outstanding).
(xiii) 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).
(xix) Coutts beneficially owns 44,051,830 Shares (approximately 7.0%
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.
(xx) Cititrust beneficially owns 73,579,625 Shares (approximately
11.6% 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.
(xxi) JMD Protector beneficially owns an aggregate of 117,631,455
Shares (approximately 18.6% of the total number of Shares outstanding), by
virtue of being the protector of the Shari Arison Trust No. 1 and the Lin Trust
No. 2. JMD Protector has shared dispositive power with respect to Shares held by
the Shari Arison Trust No. 1 and the Lin Trust No. 2. JMD Protector has shared
voting power with respect to the Shares held by the Lin Trust No. 2 and certain
Shares held by the Shari Arison Trust No. 1, and has sole voting power with
respect to certain Shares held by the Shari Arison Trust No. 1.
36
(xxii) Balluta beneficially owns 5,102,708 Shares (approximately 0.8%
of the total number of Shares outstanding), by virtue of being the co-trustee of
the Shari Arison Guernsey Trust. Balluta shares dispositive power with respect
to the 4,000,000 Shares directly held by the Shari Arison Guernsey Trust and
with respect to 1,102,708 Shares held by TAMMS L.P. Accordingly, Balluta may be
deemed to beneficially own such Shares for which it exercises shared dispositive
power. Balluta disclaims beneficial ownership of such Shares.
(xxiii) 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.
(xxiv) 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.
(xxv) The Jafasa 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 Jafasa 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.
(xxvi) The 1999 Jafasa Trust owns an aggregate of 801,500 Shares
(approximately 0.1% of the total number of Shares outstanding). The 1999 Jafasa
Trust has shared voting power and sole dispositive power with respect to the
801,500 Shares held by it.
(xxvii) JJO Delaware beneficially owns an aggregate of 122,734,163
Shares (approximately 19.4% 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.
(xxviii) John J. O'Neil beneficially owns an aggregate of 122,734,163
Shares (approximately 19.4% 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
37
which it exercises shared dispositive power. Mr. O'Neil disclaims beneficial
ownership of all such Shares.
(xxix) The 2003 GRAT owns an aggregate of 4,000,000 Shares
(approximately 0.6% of the total number of Shares outstanding). The 2003 GRAT
has sole voting power and sole dispositive power with respect to the 4,000,000
Shares held by it.
(xxx) The Reporting Persons, as a group, beneficially own an
aggregate of 259,056,057 Shares (approximately 41.0% of the total number of
Shares outstanding). The Reporting Persons, as a group, have sole voting and
dispositive power over all such Shares.
(c) (i) During the past 60 days, the 1997 Irrevocable Trust
for Micky Arison(1) has sold Shares in open market transactions on the New York
Stock Exchange as follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
03/19/04 100,000 $42.9679
03/22/04 35,900 $43.0079
03/24/04 100,000 $42.9207
03/25/04 100,000 $43.4072
03/26/04 20,000 $44.0000
03/29/04 50,000 $44.6958
03/31/04 82,000 $44.9002
04/01/04 128,000 $45.3709
04/02/04 50,000 $45.8891
04/05/04 65,000 $46.1071
04/06/04 110,000 $46.2928
04/12/04 25,000 $46.2070
04/14/04 50,000 $44.3157
04/15/04 70,000 $44.0749
04/16/04 128,000 $44.4760
04/20/04 50,000 $44.6501
04/21/04 100,000 $43.7744
38
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
04/22/04 128,000 $44.2958
04/27/04 5,000 $44.0610
04/28/04 6,900 $43.8314
04/29/04 31,300 $43.2635
04/30/04 25,000 $43.0475
05/03/04 41,700 $42.7049
05/04/04 80,000 $43.1061
05/05/04 25,000 $43.2500
05/10/04 50,500 $40.7557
05/11/04 40,000 $40.9110
05/12/04 45,000 $40.9109
05/14/04 100,000 $41.0752
-----------------------
(1) Micky Arison reports beneficial ownership of the Shares held by the
1997 Irrevocable Trust for Micky Arison.
(c) (ii) During the past 60 days, Lin Trust No. 2(2) has sold
Shares in open market transactions on the New York Stock Exchange as follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
03/19/04 28,000 $43.0212
03/22/04 8,000 $43.0090
03/24/04 24,000 $42.9331
03/25/04 25,000 $43.4343
03/26/04 5,000 $44.0060
03/29/04 5,000 $44.7060
03/31/04 23,000 $44.8917
39
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
04/01/04 32,000 $45.4776
04/02/04 10,000 $45.8926
04/05/04 15,000 $46.1321
04/06/04 15,000 $46.3303
04/12/04 3,000 $46.2050
04/14/04 4,500 $44.3047
04/15/04 12,000 $44.0842
04/16/04 32,000 $44.4858
04/20/04 9,000 $44.6657
04/21/04 26,000 $43.8038
04/22/04 32,000 $44.3602
04/27/04 1,500 $44.0467
04/28/04 500 $43.8500
04/29/04 7,000 $43.2607
04/30/04 4,500 $43.0584
05/03/04 10,000 $42.7215
05/04/04 20,000 $43.1420
05/05/04 7,500 $43.2760
05/10/04 10,000 $40.7588
05/11/04 9,500 $40.9229
05/12/04 6,500 $40.9054
05/14/04 27,000 $41.0706
-----------------------
(2) Each of Micky Arison, JMD Delaware, James M. Dubin, Coutts, JMD
Protector, JJO Delaware and John J. O'Neil also report beneficial
ownership of the Shares held by the Lin Trust No. 2.
(c) (iii) During the past 60 days, the Shari Arison Trust No.
1(3) has sold Shares in open market transactions on the New York Stock Exchange
as follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
03/19/04 100,000 $42.9677
03/22/04 35,900 $43.0079
03/24/04 100,000 $42.9206
03/25/04 100,000 $43.4071
03/26/04 30,000 $44.0000
04/20/04 50,000 $44.6500
04/21/04 100,000 $43.7740
04/22/04 107,000 $44.2556
04/27/04 5,000 $44.0446
04/28/04 6,900 $43.8314
04/29/04 31,500 $43.2639
04/30/04 25,000 $43.0418
05/03/04 41,800 $42.7051
05/04/04 80,000 $43.1060
05/05/04 25,000 $43.2500
05/10/04 50,700 $40.7564
05/11/04 40,000 $40.9122
05/12/04 45,000 $40.9111
05/14/04 100,000 $41.0749
------------------------
(3) Each of Micky Arison, JMD Protector, James M. Dubin, JMD Delaware,
Cititrust and JJO Delaware also report beneficial ownership of the
Shares held by the Shari Arison Trust No. 1.
(c) (iv) During the past 60 days, the 1999 Jafasa Trust (4) has sold
Shares in open market transactions on the New York Stock Exchange as follows:
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
04/01/04 21,000 $45.4875
04/02/04 5,000 $45.9010
04/05/04 10,000 $46.1320
04/06/04 10,000 $46.3493
04/12/04 2,000 $46.2050
04/14/04 3,000 $44.2950
04/15/04 8,000 $44.0475
04/16/04 20,000 $44.4735
04/20/04 7,500 $44.6593
04/21/04 19,000 $43.7994
04/22/04 21,000 $44.3362
04/27/04 1,000 $43.9400
04/29/04 4,500 $43.2696
40
AVERAGE
DATE NO. OF SHARES SOLD PRICE PER SHARE
---- ------------------ ---------------
04/30/04 3,000 $43.0583
05/03/04 8,000 $42.7238
05/04/04 15,000 $43.1377
05/05/04 4,500 $43.2711
05/10/04 7,000 $40.7600
05/11/04 6,500 $40.9263
05/12/04 4,500 $40.9189
05/14/04 18,000 $41.0712
-----------------------
(4) Each of Micky Arison and JMD Delaware also report beneficial ownership
of the Shares held by the 1999 Jafasa Trust.
Except as set forth in this paragraph (c) and in Item 4, to the best of
the knowledge of each of the Reporting Persons, none of the persons named in
response to paragraph (a) has effected any transactions in the Shares during the
past 60 days.
(d) Each of the Reporting Persons affirms that no person other than
such Reporting Person has the right to receive or the power to direct the
receipt of dividends from, or the proceeds from the sale of, the Shares owned by
such Reporting Person.
(e) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
No material change.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
The following exhibit has been filed with this Schedule 13D.
Exhibit 26 Joint Filing Agreement, dated as of May 18, 2004, 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, the Jafasa Continued Trust, the 1999 Jafasa Trust, JJO
Delaware, John J. O'Neil and the 2003 GRAT.
41
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief,
we certify that the information set forth in this statement is true, complete
and correct.
Date: May 18, 2004
BALLUTA LIMITED
CITITRUST (JERSEY) LIMITED
COUTTS (JERSEY) LIMITED
JAMES M. DUBIN
JJO DELAWARE, INC.
JMD DELAWARE, INC.
JMD PROTECTOR, INC.
JOHN J. O'NEIL
MA 1994 B SHARES, INC.
MA 1994 B SHARES, L.P.
MA 1997 HOLDINGS, INC.
MA 1997 HOLDINGS, L.P.
MBA I, L.P.
MICKY ARISON
MICKY ARISON 2003 GRAT
SHARI ARISON
TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP
TAMMS MANAGEMENT CORPORATION
JAFASA CONTINUED IRREVOCABLE TRUST
TED ARISON CONTINUED IRREVOCABLE TRUST FOR MICKY ARISON
TED ARISON CONTINUED IRREVOCABLE TRUST FOR SHARI ARISON
THE 1999 JAFASA IRREVOCABLE DELAWARE TRUST
THE MARILYN B. ARISON 2003 TRUST
THE MICKY ARISON 1994 "B" TRUST
THE MICKY ARISON 1997 HOLDINGS TRUST
THE SHARI ARISON IRREVOCABLE GUERNSEY TRUST
THE TED ARISON 1992 IRREVOCABLE TRUST FOR LIN NO. 2
THE TED ARISON 1994 IRREVOCABLE TRUST FOR SHARI NO. 1
THE TED ARISON FAMILY FOUNDATION USA, INC.
TAMMS INVESTMENT COMPANY, LIMITED PARTNERSHIP
By: John J. O'Neil, Attorney-in-Fact
/s/ John J. O'Neil
---------------------------------
INDEX TO EXHIBITS
EXHIBITS
--------
Exhibit 26 Joint Filing Agreement, dated as of May 18, 2004, 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, the Jafasa Continued Trust, the 1999 Jafasa Trust, JJO
Delaware, John J. O'Neil and the 2003 GRAT.