8-K

 

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF

THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported) November 4, 2013

 

LOGO

 

Carnival Corporation

 

Carnival plc

(Exact name of registrant

as specified in its charter)

 

(Exact name of registrant

as specified in its charter)

 

Republic of Panama

 

England and Wales

(State or other jurisdiction

of incorporation)

 

(State or other jurisdiction

of incorporation)

 

001-9610

 

001-15136

(Commission File Number)   (Commission File Number)

 

59-1562976

 

98-0357772

(IRS Employer

Identification No.)

 

(IRS Employer

Identification No.)

 

3655 N.W. 87th Avenue

Miami, Florida 33178-2428

United States of America

 

Carnival House

5 Gainsford Street

London SE1 2NE

United Kingdom

(Address of principal

executive offices)

(Zip Code)

 

(Address of principal

executive offices)

(Zip Code)

 

(305) 599-2600

 

011 44 20 7940 5381

(Registrant’s telephone number,

including area code)

 

(Registrant’s telephone number,

including area code)

 

None

 

None

(Former name or former address,

if changed since last report.)

 

(Former name or former address,

if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrants under any of the following provisions:

 

¨      Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨      Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨      Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨      Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 


Section 5 – Corporate Governance and Management.

Item 5.02 – Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

(b) Resignation of Chief Operating Officer

Howard S. Frank, Chief Operating Officer of Carnival Corporation and Carnival plc (together, the “Companies”), notified the Companies on November 4, 2013 that he will be stepping down as the Vice Chairman and Chief Operating Officer of the Companies effective November 30, 2013. Effective December 1, 2013, Mr. Frank will take on the role of special advisor to the President and Chief Executive Officer and the Chairman of the Companies and will continue to serve on the Boards of Directors of the Companies.

The terms of Mr. Frank’s separation are being considered by the Compensation Committee and will be disclosed in a report on Form 8-K once finalized.

The Companies issued a press release announcing this matter, a copy of which is attached hereto as Exhibit 99.1 and is incorporated by reference herein.

 

Section 9 – Financial Statements and Exhibits.

Item 9.01 – Financial Statements and Exhibits.

 

(c) Exhibits.

 

  99.1 Press release dated November 4, 2013


 

SIGNATURES

Pursuant to the requirements 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 hereunto duly authorized.

 

CARNIVAL CORPORATION     CARNIVAL PLC
By: /s/ Arnaldo Perez                                                                      By: /s/ Arnaldo Perez                                                                 

Name: Arnaldo Perez

Title: Senior Vice President,

General Counsel &

Secretary

   

Name: Arnaldo Perez

Title: Senior Vice President,

General Counsel & Company

Secretary

   
   
   
   
Date: November 8, 2013     Date: November 8, 2013


 

Exhibit Index

 

Exhibit No.

  

Description

99.1    Press release dated November 4, 2013