Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.
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A.
Securities Authorized for Issuance under Equity Compensation Plans
I.
Carnival Corporation
Set forth below is a table that summarizes compensation plans (including individual compensation arrangements) under which Carnival Corporation equity securities are authorized for issuance as of November 30, 2013.
Plan category
Number of securitiesto be issued uponexercise ofoutstanding options,warrants and rights
Weighted-averageexercise price ofoutstandingoptions, warrantsand rights
Number of securities remainingavailable for future issuanceunder equity compensationplans (excluding securitiesreflected in column (1))
(1)
Equity compensation plans approved by security holders
5,220,591
(a)
$
49.03
14,984,074
(b)(c)
Equity compensation plans not approved by security holders
-
-
-
5,220,591
$
49.03
14,984,074
(a)
Includes outstanding options to purchase Carnival Corporation common stock under the Carnival Corporation 2002 Stock Plan and Carnival Corporation 2001 Outside Director Stock Plan. Also includes 454,865 restricted share units outstanding under the Carnival Corporation 2002 Stock Plan and 1,583,261 restricted share units outstanding under the Carnival Corporation 2011 Stock Plan.
(b)
Includes Carnival Corporation common stock available for issuance as of November 30, 2013 as follows: 2,321,806 under the Carnival Corporation Employee Stock Purchase Plan, which includes 33,365 shares subject to purchase during the current purchase period and 12,457,873 under the Carnival Corporation 2011 Stock Plan.
(c)
In addition to options, the Carnival Corporation 2011 Stock Plan provides for the award of restricted shares and restricted share units without limitation on the number of shares that can be awarded in either form.
Set forth below is a table that summarizes compensation plans (including individual compensation arrangements) under which Carnival plc equity securities are authorized for issuance as of November 30, 2013.
Plan category
Number of securitiesto be issued uponexercise ofoutstanding options,warrants and rights
Weighted-averageexercise price ofoutstandingoptions, warrantsand rights (a)
Number of securities remainingavailable for future issuanceunder equity compensationplans (excluding securitiesreflected in column (1))
(1)
Equity compensation plans approved by security holders
1,592,401
(b)
$
45.71
18,040,259
(c)
Equity compensation plans not approved by security holders
-
-
-
1,592,401
$
45.71
18,040,259
(a)
Converted from sterling, if applicable, using the November 29, 2013 exchange rate of $1.63:£1.
(b)
Includes outstanding options to purchase Carnival plc ordinary shares under the Carnival plc Executive Share Option Plan and Carnival plc 2005 Employee Share Plan. Also includes 852,694 restricted share units outstanding under the Carnival plc 2005 Employee Share Plan.
(c)
In addition to options, the Carnival plc 2005 Employee Share Plan provides for the award of restricted shares and restricted share units without limitation on the number of shares that can be awarded in either form.
The additional information required by Item 12 is incorporated herein by reference to the Carnival Corporation and Carnival plc joint definitive Proxy Statement to be filed with the U.S. Securities and Exchange Commission not later than 120 days after the close of the 2013 fiscal year.
Items 13 and 14.
Certain Relationships and Related Transactions, and Director Independence and Principal Accountant Fees and Services.
The information required by Items 13 and 14 is incorporated herein by reference to the Carnival Corporation and Carnival plc joint definitive Proxy Statement to be filed with the U.S. Securities and Exchange Commission not later than 120 days after the close of the 2013 fiscal year.
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