Item 15. Exhibits and Financial Statement Schedules.
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Item 15. Exhibits and Financial Statement Schedules.
(a) (1) Financial Statements
The financial statements shown in Exhibit 13 are incorporated herein by reference into this Form 10-K.
(2) Financial Statement Schedules
All schedules for which provision is made in the applicable accounting regulations of the SEC are not required under the related instruction or are inapplicable and, therefore, have been omitted.
(3) Exhibits
The exhibits listed on the accompanying Index to Exhibits are filed or incorporated by reference as part of this Form 10-K and such Index to Exhibits is hereby incorporated herein by reference.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, each of the registrants has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| CARNIVAL CORPORATION | CARNIVAL PLC |
| /s/ Arnold W. Donald | /s/ Arnold W. Donald |
| President and Chief Executive Officer and | President and Chief Executive Officer and |
| Director | Director |
| January 29, 2015 | January 29, 2015 |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of each of the registrants and in the capacities and on the dates indicated.
| CARNIVAL CORPORATION | CARNIVAL PLC |
| /s/ Arnold W. Donald | /s/ Arnold W. Donald |
| President and Chief Executive Officer and | President and Chief Executive Officer and |
| Director | Director |
| January 29, 2015 | January 29, 2015 |
| /s/ David Bernstein | /s/ David Bernstein |
| David Bernstein | David Bernstein |
| Chief Financial Officer | Chief Financial Officer |
| January 29, 2015 | January 29, 2015 |
| /s/ Larry Freedman | /s/ Larry Freedman |
| Larry Freedman | Larry Freedman |
| Chief Accounting Officer and | Chief Accounting Officer and |
| Controller | Controller |
| January 29, 2015 | January 29, 2015 |
| /s/* Micky Arison | /s/* Micky Arison |
| Micky Arison | Micky Arison |
| Chairman of the Board of | Chairman of the Board of |
| Directors | Directors |
| January 29, 2015 | January 29, 2015 |
| /s/*Sir Jonathon Band | /s/*Sir Jonathon Band |
| Sir Jonathon Band | Sir Jonathon Band |
| Director | Director |
| January 29, 2015 | January 29, 2015 |
| /s/*Richard J. Glasier | /s/*Richard J. Glasier |
| Richard J. Glasier | Richard J. Glasier |
| Director | Director |
| January 29, 2015 | January 29, 2015 |
| /s/*Debra Kelly-Ennis | /s/*Debra Kelly-Ennis |
| Debra Kelly-Ennis | Debra Kelly-Ennis |
| Director | Director |
| January 29, 2015 | January 29, 2015 |
| s/*Sir John Parker | s/*Sir John Parker |
| Sir John Parker | Sir John Parker |
| Director | Director |
| January 29, 2015 | January 29, 2015 |
| /s/*Stuart Subotnick | /s/*Stuart Subotnick |
| Stuart Subotnick | Stuart Subotnick |
| Director | Director |
| January 29, 2015 | January 29, 2015 |
| /s/*Laura Weil | /s/*Laura Weil |
| Laura Weil | Laura Weil |
| Director | Director |
| January 29, 2015 | January 29, 2015 |
| /s/*Randall J. Weisenburger | /s/*Randall J. Weisenburger |
| Randall J. Weisenburger | Randall J. Weisenburger |
| Director | Director |
| January 29, 2015 | January 29, 2015 |
| *By: /s/ Arnaldo Perez | *By: /s/ Arnaldo Perez |
| Arnaldo Perez | Arnaldo Perez |
| (Attorney-in-fact) | (Attorney-in-fact) |
| January 29, 2015 | January 29, 2015 |
| INDEX TO EXHIBITS | ||||||||
| Incorporated by Reference | ||||||||
| Exhibit Number | Exhibit Description | Form | Exhibit | Filing Date | Filed Herewith | |||
| Articles of incorporation and by-laws | ||||||||
| 3.1 | Third Amended and Restated Articles of Incorporation of Carnival Corporation. | 8-K | 3.1 | 4/17/03 | ||||
| 3.2 | Third Amended and Restated By-Laws of Carnival Corporation. | 8-K | 3.1 | 4/20/09 | ||||
| 3.3 | Articles of Association of Carnival plc. | 8-K | 3.3 | 4/20/09 | ||||
| 3.4 | Memorandum of Association of Carnival plc. | 8-K | 3.2 | 4/20/09 | ||||
| Instruments defining the rights of security holders, including indenture | ||||||||
| 4.1 | Agreement of Carnival Corporation and Carnival plc, dated January 22, 2015 to furnish certain debt instruments to the Securities and Exchange Commission. | X | ||||||
| 4.2 | Carnival Corporation Deed, dated April 17, 2003, between Carnival Corporation and P&O Princess Cruises plc for the benefit of the P&O Princess Shareholders. | 10-Q | 4.1 | 10/15/03 | ||||
| 4.3 | Equalization and Governance Agreement, dated April 17, 2003, between Carnival Corporation and P&O Princess Cruises plc. | 10-Q | 4.2 | 10/15/03 | ||||
| 4.4 | Carnival Corporation Deed of Guarantee, dated as of April 17, 2003, between Carnival Corporation and Carnival plc. | S-4 | 4.3 | 5/30/03 | ||||
| 4.5 | Carnival plc Deed of Guarantee, dated as of April 17, 2003, between Carnival Corporation and Carnival plc. | S-3 & F-3 | 4.10 | 6/19/03 | ||||
| 4.6 | Specimen Common Stock Certificate. | S-3 & F-3 | 4.16 | 6/19/03 | ||||
| 4.7 | Pairing Agreement, dated as of April 17, 2003, between Carnival Corporation, The Law Debenture Trust Corporation (Cayman) Limited, as trustee, and Computershare Investor Services (formerly SunTrust Bank), as transfer agent. | 8-K | 4.1 | 4/17/03 | ||||
| 4.8 | Voting Trust Deed, dated as of April 17, 2003, between Carnival Corporation and The Law Debenture Trust Corporation (Cayman) Limited, as trustee. | 8-K | 4.2 | 4/17/03 | ||||
| INDEX TO EXHIBITS | ||||||||
| 4.9 | SVE Special Voting Deed, dated as of April 17, 2003, between Carnival Corporation, DLS SVC Limited, P&O Princess Cruises plc, The Law Debenture Trust Corporation (Cayman) Limited, as trustee, and The Law Debenture Trust Corporation, P.L.C. | 8-K | 4.3 | 4/17/03 | ||||
| 4.10 | Form of Amended and Restated Deposit Agreement and holders from time to time of receipts issued thereunder. | Post Amend- ment to Form F-6 | 99-a | 4/15/03 | ||||
| 4.11 | Form of Indenture, dated March 1, 1993, between Carnival Cruise Lines, Inc. and First Trust National Association, as Trustee, relating to the Debt Securities, including form of Debt Security. | S-3 | 4 | 3/2/93 | ||||
| 4.12 | Second Supplemental Indenture, dated December 1, 2003, between Carnival plc and Carnival Corporation to The Bank of New York, as Trustee, relating to 7.875% debentures due 2027. | 10-K | 4.14 | 2/25/04 | ||||
| 4.13 | Specimen Ordinary Share Certificate. | S-3 | 4.1 | 7/2/09 | ||||
| Material contracts | ||||||||
| 10.1* | Carnival Corporation Nonqualified Retirement Plan for Highly Compensated Employees. | 10-Q | 10.1 | 9/28/07 | ||||
| 10.2 | Amendment and Restatement Agreement dated June 16, 2014 in respect of the Multicurrency Revolving Facilities Agreement dated May 18, 2011, among Carnival Corporation, Carnival plc and certain of Carnival Corporation and Carnival plc subsidiaries, Bank of America Merrill Lynch International Limited as facilities agent and a syndicate of financial institutions. | 10-Q | 10.1 | 10/3/14 | ||||
| 10.3* | Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-K | 10.6 | 2/27/98 | ||||
| 10.4* | Amendment to the Carnival Corporation Nonqualified Retirement Plan for Highly Compensated Employees. | 10-Q | 10.1 | 3/30/07 | ||||
| 10.5* | Carnival Cruise Lines, Inc. Non-Qualified Retirement Plan. | 10-K | 10.4 | 2/22/91 | ||||
| 10.6* | Consulting Agreement/ Registration Rights Agreement, dated June 14, 1991, between Carnival Corporation and Ted Arison. | S-3A | 4.3 | 7/16/91 | ||||
| 10.7* | First Amendment to Consulting Agreement/ Registration Rights Agreement between Carnival Corporation and Ted Arison. | 10-K | 10.40 | 2/25/93 | ||||
| 10.8* | Form of Appointment Letter for Non-Executive Directors. | 10-Q | 10.1 | 6/27/08 | ||||
| INDEX TO EXHIBITS | ||||||||
| 10.9* | Form of Appointment Letter for Executive Directors. | 10-Q | 10.2 | 6/27/08 | ||||
| 10.10* | Amended and Restated Carnival plc 2005 Employee Share Plan. | 10-Q | 10.1 | 4/2/09 | ||||
| 10.11* | Carnival Corporation Supplemental Executive Retirement Plan. | 10-K | 10.32 | 2/28/00 | ||||
| 10.12* | Amendment to the Carnival Corporation Supplemental Executive Retirement Plan. | 10-K | 10.31 | 2/28/01 | ||||
| 10.13* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-K | 10.33 | 2/28/00 | ||||
| 10.14* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-Q | 10.2 | 3/30/07 | ||||
| 10.15* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-K | 10.34 | 2/28/01 | ||||
| 10.16* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-K | 10.37 | 2/28/02 | ||||
| 10.17* | Amendment to the Carnival Corporation Supplemental Executive Retirement Plan. | 10-Q | 10.3 | 3/30/07 | ||||
| 10.18* | Amended and Restated Carnival Corporation 2001 Outside Director Stock Plan. | 10-Q | 10.1 | 6/30/09 | ||||
| 10.19* | Amended and Restated Carnival Corporation 2002 Stock Plan. | 10-Q | 10.3 | 4/2/09 | ||||
| 10.20 | Succession Agreement, dated as of May 28, 2002, to Registration Rights Agreement, dated June 14, 1991, between Carnival Corporation and Ted Arison. | 10-Q | 10.2 | 7/12/02 | ||||
| 10.21* | Amendment to the Carnival Corporation Nonqualified Retirement Plan For Highly Compensated Employees. | 10-Q | 10.1 | 3/28/06 | ||||
| 10.22* | Amendment of the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-Q | 10.1 | 4/14/03 | ||||
| 10.23* | Amendment of the Carnival Corporation Nonqualified Retirement Plan For Highly Compensated Employees. | 10-Q | 10.2 | 4/14/03 | ||||
| 10.24* | The P&O Princess Cruises Executive Share Option Plan. | 20-F | 4.9 | 12/30/01 | ||||
| 10.25* | Form of Carnival Corporation Performance-Based Restricted Stock Unit Agreement. | 10-Q | 10.1 | 4/1/11 | ||||
| INDEX TO EXHIBITS | ||||||||
| 10.26* | Amendment to the Carnival Corporation Supplemental Executive Retirement Plan. | 10-Q | 10.1 | 4/8/04 | ||||
| 10.27* | Amendment to the Carnival Corporation Nonqualified Retirement Plan for Highly Compensated Employees. | 10-Q | 10.2 | 4/8/04 | ||||
| 10.28* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-Q | 10.3 | 4/8/04 | ||||
| 10.29* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-Q | 10.1 | 4/7/05 | ||||
| 10.30* | Form of Nonqualified Stock Option Agreement for the Amended and Restated Carnival Corporation 2001 Outside Director Stock Plan. | 10-Q | 10.5 | 10/7/05 | ||||
| 10.31* | Form of Restricted Stock Award Agreement for the Amended and Restated Carnival Corporation 2001 Outside Director Stock Plan. | 10-K | 10.60 | 1/29/08 | ||||
| 10.32* | Form of Restricted Stock Unit Award Agreement for the Amended and Restated Carnival Corporation 2001 Outside Director Stock Plan. | 10-K | 10.61 | 1/29/08 | ||||
| 10.33* | Form of Share Option Certificate for the Amended and Restated Carnival plc 2005 Employee Share Plan. | 10-Q | 10.80 | 10/7/05 | ||||
| 10.34* | Carnival Corporation 2011 Stock Plan Non-Employee Director Restricted Stock Unit. | 10-Q | 10.2 | 7/1/11 | ||||
| 10.35* | Carnival Corporation 2011 Stock Plan Non-Employee Director Restricted Stock Award Agreement. | 10-Q | 10.3 | 7/1/11 | ||||
| 10.36* | Form of Restricted Share Unit Award Certificate for the Amended and Restated Carnival plc 2005 Employee Share Plan. | 10-Q | 10.3 | 3/28/06 | ||||
| 10.37* | Form of Restricted Stock Unit Agreement for the Amended and Restated Carnival Corporation 2002 Stock Plan. | 10-K | 10.67 | 1/29/08 | ||||
| 10.38* | Amendment to the P&O Princess Cruises Executive Share Option Plan. | 10-Q | 10.5 | 3/30/07 | ||||
| 10.39* | Amended and Restated Carnival Corporation 2011 Stock Plan. | X | ||||||
| 10.40* | Form of Executive Restricted Stock Agreement for the Amended and Restated Carnival Corporation 2002 Stock Plan. | 10-Q | 10.4 | 4/2/09 | ||||
| 10.41* | Form of Carnival plc Performance-Based Restricted Stock Unit Agreement. | 10-Q | 10.2 | 4/1/11 |
| INDEX TO EXHIBITS | ||||||||
| 10.42* | Amendment to the Carnival Corporation Supplemental Executive Retirement Plan. | 8-K | 10.1 | 10/19/07 | ||||
| 10.43* | Form of Executive Restricted Stock Agreement for Executives with Long-term Compensation Agreements. | 10-Q | 10.5 | 4/2/09 | ||||
| 10.44* | Amended and Restated Carnival Corporation & plc Management Incentive Plan for the CEO, COO and CFO. | 10-Q | 10.7 | 4/2/14 | ||||
| 10.45* | Amended and Restated Executive Long-term Compensation Agreement, dated January 15, 2008, between Carnival Corporation and Micky Arison. | 10-Q | 10.2 | 3/28/08 | ||||
| 10.46* | Amended and Restated Executive Long-term Compensation Agreement dated January 15, 2008, between Carnival Corporation and Howard S. Frank. | 10-Q | 10.3 | 3/28/08 | ||||
| 10.47* | Amendment to the Carnival Corporation Nonqualified Retirement Plan for Highly Compensated Employees. | 10-Q | 10.7 | 4/2/09 | ||||
| 10.48* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-Q | 10.8 | 4/2/09 | ||||
| 10.49* | Amendment to the Carnival Corporation Supplemental Executive Retirement Plan. | 10-Q | 10.9 | 4/2/09 | ||||
| 10.50* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-Q | 10.1 | 4/1/10 | ||||
| 10.51* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-Q | 10.3 | 4/1/10 | ||||
| 10.52* | Amendment to the Carnival Corporation “Fun Ship” Nonqualified Savings Plan. | 10-Q | 10.1 | 7/1/10 | ||||
| 10.53* | Form of Executive Restricted Stock Agreement for Executives with Executive Long-term Compensation Agreements for Carnival Corporation 2011 Stock Plan. | 10-Q | 10.1 | 3/30/12 | ||||
| 10.54* | Form of Executive Restricted Stock Agreement for the Carnival Corporation 2011 Stock Plan. | 10-Q | 10.2 | 3/30/12 | ||||
| 10.55* | Form of Performance-Based Restricted Stock Unit Agreement for the Carnival Corporation 2011 Stock Plan. | 10-Q | 10.1 | 10/3/13 | ||||
| 10.56* | Employment Agreement dated as of October 14, 2013 between Carnival Corporation, Carnival plc and Arnold W. Donald. | 10-Q | 10.2 | 10/3/14 | ||||
| 10.57* | Employment Contract between Costa Crociere S.p.A and Michael Olaf Thamm effective June 30, 2012. | 10-Q | 10.1 | 4/2/14 |
| INDEX TO EXHIBITS | ||||||||
| 10.58* | Addendum to Employment Contract between Costa Crociere S.p.A and Michael Olaf Thamm effective January 24, 2013. | 10-Q | 10.2 | 4/2/14 | ||||
| 10.59* | Form of Performance-Based Restricted Stock Unit Agreement for Special Executive Award for the Carnival Corporation 2011 Stock Plan. | 10-Q | 10.3 | 4/2/14 | ||||
| 10.60* | Form of Performance-Based Restricted Stock Unit Agreement for Special Executive Award for the Carnival plc 2005 Employee Share Plan. | 10-Q | 10.4 | 4/2/14 | ||||
| 10.61* | Carnival Corporation & plc Brand Management Incentive Plan. | 10-Q | 10.8 | 4/2/14 | ||||
| 10.62* | Consulting Agreement between Carnival Corporation and Carnival plc and Howard S. Frank dated January 27, 2014 | 10-Q | 10.6 | 4/2/14 | ||||
| 10.63* | Form of Performance-Based Restricted Stock Unit Agreement for the Carnival Corporation 2011 Stock Plan. | 10-Q | 10.1 | 7/2/14 | ||||
| 10.64* | Form of Performance-Based Restricted Stock Unit | 10-Q | 10.2 | 7/2/14 | ||||
| 10.65* | Carnival plc 2014 Employee Share Plan | 10-Q | 10.3 | 7/2/14 | ||||
| 10.66* | Amendment to the Carnival Corporation & plc Management Incentive Plan for the CEO, COO and CFO. | X | ||||||
| 10.67* | Amendment to the Carnival Corporation & plc Brand Management Incentive Plan. | X | ||||||
| Statements regarding computations of ratios | ||||||||
| 12 | Ratio of Earnings to Fixed Charges. | X | ||||||
| Annual report to security holders | ||||||||
| 13 | Portions of 2014 Annual Report. | X | ||||||
| Subsidiaries of the registrants | ||||||||
| 21 | Significant Subsidiaries of Carnival Corporation and Carnival plc. | X | ||||||
| Consents of experts and counsel | ||||||||
| 23 | Consent of Independent Registered Certified Public Accounting Firm. | X |
| INDEX TO EXHIBITS | ||||||||
| Power of attorney | ||||||||
| 24 | Powers of Attorney given by certain Directors of Carnival Corporation and Carnival plc to Arnold Donald, David Bernstein and Arnaldo Perez authorizing such persons to sign this 2014 joint Annual Report on Form 10-K and any future amendments on their behalf. | X | ||||||
| Rule 13a-14(a)/15d-14(a) certifications | ||||||||
| 31.1 | Certification of President and Chief Executive Officer of Carnival Corporation pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||||
| 31.2 | Certification of Chief Financial Officer of Carnival Corporation pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||||
| 31.3 | Certification of President and Chief Executive Officer of Carnival plc pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||||
| 31.4 | Certification of Chief Financial Officer of Carnival plc pursuant to Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||||
| Section 1350 certifications | ||||||||
| 32.1** | Certification of President and Chief Executive Officer of Carnival Corporation pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||||
| 32.2** | Certification of Chief Financial Officer of Carnival Corporation pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||||
| 32.3** | Certification of President and Chief Executive Officer of Carnival plc pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||||
| 32.4** | Certification of Chief Financial Officer of Carnival plc pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||||
| INDEX TO EXHIBITS | ||||||||
| Interactive data file | ||||||||
| 101 | The consolidated financial statements from Carnival Corporation & plc’s Form 10-K for the year ended November 30, 2014, as filed with the SEC on January 29, 2015 formatted in XBRL, are as follows: | |||||||
| (i) the Consolidated Statements of Income for the years ended November 30, 2014, 2013 and 2012; | X | |||||||
| (ii) the Consolidated Statements of Comprehensive Income for the years ended November 30, 2014, 2013 and 2012; | X | |||||||
| (iii) the Consolidated Balance Sheets at November 30, 2014 and 2013; | X | |||||||
| (iv) the Consolidated Statements of Cash Flows for the years ended November 30, 2014, 2013 and 2012; | X | |||||||
| (v) the Consolidated Statements of Shareholders’ Equity for the years ended November 30, 2014, 2013 and 2012 and | X | |||||||
| (vi) the notes to the consolidated financial statements, tagged in summary and detail. | X |
*Indicates a management contract or compensation plan or arrangement.
**These items are furnished and not filed.