SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Amendment No. 1 to
Third Amended and Restated
Schedule 13D
Under the Securities Exchange Act of 1934
Carnival Corporation
-----------------------------------------------------------
(Name of Issuer)
Common Stock ($.01 par value)
-----------------------------------------------------------
(Title of Class of Securities)
143658 10 2
-----------------------------------------------------------
(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 18, 2000
-----------------------------------------------------------
(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).
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 ----------------------
Reporting (9) Sole Dispositive Power 3,653,168
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 [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.6%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 2
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 ----------------------
Reporting (9) Sole Dispositive Power 365,316
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 [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.6%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 3
<PAGE>
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE CONTINUED TRUST FOR MICKY ARISON
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 1,959,010
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 1,959,010
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 1,959,010
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.3%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 4
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 4,682,708
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 4,682,708
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 4,682,708
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.8%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 5
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 4,682,708
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 4,682,708
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 4,682,708
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.8%
---------
(14) Type of Reporting Person PN
-----------------------------------
Page 6
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 4,682,708
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 4,682,708
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 4,682,708
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.8%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 7
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 108,114,284
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 108,114,284
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 108,114,284
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 17.9%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 8
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 108,114,284
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 108,114,284
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 108,114,284
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 17.9%
---------
(14) Type of Reporting Person PN
-----------------------------------
Page 9
<PAGE>
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 108,114,284
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 108,114,284
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 108,114,284
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 17.9%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 10
<PAGE>
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 127,724,677
Shares Bene- ------------------------
ficially (8) Shared Voting Power 97,530,347
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 127,784,677
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 225,255,024
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [X]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 37.3%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 11
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 6,852,708
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 6,852,708
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.1%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 12
<PAGE>
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE CONTINUED TRUST FOR SHARI ARISON DORSMAN
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 ----------------------
Reporting (9) Sole Dispositive Power 4,000,000
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 [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.8%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 13
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 76,787,525
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 76,787,525
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 12.7%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 14
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 6,000,000
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 6,000,000
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 6,000,000
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.0%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 15
<PAGE>
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
MARILYN B. ARISON
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 1,032,440
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 1,032,440
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 1,032,440
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [X]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.2%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 16
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 11,400,728
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 4,682,708
Person With -------------------
(10) Shared Dispositive Power 6,718,018
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 11,400,728
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.9%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 17
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 30,085,716
Shares Bene- ------------------------
ficially (8) Shared Voting Power 104,248,367
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 4,682,708
Person With -------------------
(10) Shared Dispositive Power 136,504,081
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 141,186,791
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 23.4%
---------
(14) Type of Reporting Person IN
-----------------------------------
Page 18
<PAGE>
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE TED ARISON 1992 IRREVOCABLE TRUST FOR LIN NUMBER TWO
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 46,145,830
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 46,145,830
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 7.6%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 19
<PAGE>
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
ARISON FOUNDATION, INC.
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 250,000
Shares Bene- ------------------------
ficially (8) Shared Voting Power -0-
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power 250,000
Person With -------------------
(10) Shared Dispositive Power -0-
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 250,000
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 0.04%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 20
<PAGE>
CUSIP No. 143658 10 2
(1) Name of Reporting Persons. S.S. or I.R.S. Identification
Nos. of Above Persons
THE ROYAL BANK OF SCOTLAND TRUST COMPANY (JERSEY) LIMITED
------------------------------------------------------------
(2) Check the Appropriate Box if a Member of a Group
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 46,145,830
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 46,145,830
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 7.6%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 21
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 76,787,525
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 76,787,525
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 12.7%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 22
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 30,085,716
Shares Bene- ------------------------
ficially (8) Shared Voting Power 92,847,639
Owned by Each ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 122,933,355
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 122,933,355
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 20.3%
---------
(14) Type of Reporting Person CO
-----------------------------------
Page 23
<PAGE>
CUSIP No. 143658 10 2
(1) Name 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
(a) (b) X
----------------- -----------------------------------
(3) SEC Use Only
(4) Source of Funds 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 ----------------------
Reporting (9) Sole Dispositive Power -0-
Person With -------------------
(10) Shared Dispositive Power 6,852,708
-----------------
(11) Aggregate Amount Beneficially Owned by Each Reporting
Person 6,852,708
-----------------------------------------------------
(12) Check if the Aggregate Amount in Row (11) Excludes Certain
Shares [ ]
-----------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 1.1%
---------
(14) Type of Reporting Person OO
-----------------------------------
Page 24
<PAGE>
The Third Amended and Restated Statement on Schedule 13D, dated October
14, 1999, of the Estate of Ted Arison, TAMMS Investment Company, Limited
Partnership, TAMMS Management Corporation, the Continued Trust for Micky Arison,
the Micky Arison 1997 Holdings Trust, MA 1997 Holdings, L.P., MA 1997 Holdings,
Inc., the Micky Arison 1994 "B" Trust, MA 1994 B Shares, L.P., MA 1994 B Shares,
Inc., Micky Arison, the Continued Trust for Michael Arison, the Shari Arison
Irrevocable Guernsey Trust, the Continued Trust for Shari Arison Dorsman, the
Ted Arison 1994 Irrevocable Trust for Shari No. 1, Shari Arison, the Marilyn B.
Arison Irrevocable Delaware Trust, MBA I, LLC, Marilyn B. Arison, A.H.W.
Limited, TAF Management Company, Kentish Limited, Andrew H. Weinstein, Boaz
Nahir, JMD Delaware, Inc. and James M. Dubin is hereby amended as follows:
1. Security and Issuer
This statement relates to the Common Stock, par value $.01 per share
(the "Common Stock"), of Carnival Corporation, a Panamanian corporation (the
"Issuer"). The Issuer maintains its principal executive offices at 3655 N.W.
87th Avenue, Miami, Florida 33178-2428.
2. Identity and Background
Item 2 is hereby amended by the deletion thereto of paragraphs (a)(i),
(a)(xvii), (a)(xviii), (a)(xx), (a)(xxi), (a)(xxii), (a)(xxiii) and (a)(xxiv).
Item 2 is hereby further amended by the addition to the definition of
Reporting Persons in paragraph (a) of the following:
"(xxvii) Ted Arison 1992 Irrevocable Trust for Lin Number Two ("Lin
Trust No. 2"); (xxviii) Arison Foundation, Inc. (the "Foundation"); (xxix) The
Royal Bank of Scotland Trust Company (Jersey) Limited ("RBS"); (xxx) Cititrust
(Jersey) Limited ("Cititrust"); (xxxi) JMD Protector, Inc. ("JMD Protector");
and (xxxii) Balluta Limited ("Balluta")."
Item 2 is hereby further amended by deleting the last sub-paragraph of
paragraph (a), and replacing with the following:
"Micky Arison is the Chairman, Chief Executive Officer and a Director
of the Issuer, President and Treasurer of TAMMS Corp. and beneficiary of the
Micky Arison Continued Trust, the Micky Arison 1997 Trust and the B Trust. Shari
Arison is a Director of the Issuer and the beneficiary of the Shari Arison
Guernsey Trust, the Shari Arison Continued Trust and the Shari Arison Trust No.
1. Marilyn Arison is the beneficiary of the Lin Trust No. 2. Micky Arison and
Shari Arison are the children of Ted Arison. Marilyn Arison is the widow of Ted
Arison. James M. Dubin is the sole shareholder and an officer of JMD Delaware,
the corporate trustee of the Micky Arison 1997 Trust, the B Trust, the Shari
Arison
Page 25
<PAGE>
Continued Trust and the Micky Arison Continued Trust, the sole shareholder and
an officer of JMD Protector, the corporate protector of the Lin Trust No. 2 and
the Shari Arison Trust No. 1, and the sole shareholder of Balluta, the corporate
trustee of the Shari Arison Guernsey Trust."
Item 2 is hereby further amended by the deletion thereto of paragraphs
(b) and (c)(i).
Item 2 is hereby further amended by deleting paragraph (c)(iv) and
replacing it with the following:
"The Micky Arison Continued Trust is a Delaware trust established for
the benefit of Micky Arison. The business address of the Micky Arison Continued
Trust is 1201 North Market Street, Wilmington, Delaware 19899-1347. The sole
trustee of the Continued Trust for Micky Arison is JMD Delaware. The name,
residence or business address and principal occupation or employment of each
director, executive officer and controlling person of JMD Delaware are set forth
in Item 2(c)(v)."
Item 2 is hereby further amended by the deletion thereto of paragraph
(c)(xii).
Item 2 is hereby further amended by deleting the paragraph (c)(xiii),
and replacing it with the following:
"The Shari Arison Guernsey Trust is a Guernsey trust established for
the benefit of Shari Arison. The business address of the Shari Arison Guernsey
Trust is c/o Barings (Guernsey) Limited, P.O. Box 71, Arnold House, St. Julian's
Avenue, St. Peter Port, Guernsey, Channel Islands. The sole trustee of the Shari
Arison Guernsey Trust is Balluta. The name, residence or business address and
principal occupation or employment of each director, executive officer and
controlling person of Balluta are as follows:
<TABLE>
<CAPTION>
Residence or Principal Occupation
Name Business Address or Employment
---- ---------------- -------------
<S> <C> <C>
James M. Dubin Paul, Weiss, Rifkind, Wharton Attorney-at-Law at
& Garrison Paul, Weiss, Rifkind,
1285 Avenue of the Americas Wharton & Garrison
New York, New York 10019
Philip Peter Scales St. James's Chambers, Managing Director
Athol Street, Douglas, and Chartered
Isle of Man, IM1 1JE Secretary, Barings
(Isle of Man) Limited
</TABLE>
Page 26
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
Alan Crowther St. James's Chambers, Company Secretary,
Athol Street, Douglas, Barings (Isle of Man)
Isle of Man, IM1 1JE Limited"
</TABLE>
Item 2 is hereby further amended by deleting paragraph (c)(xiv) and
replacing it with the following:
"The Shari Arison Continued Trust is a Delaware trust established for
the benefit of Shari Arison. The business address of the Shari Arison Continued
Trust is 1201 North Market Street, Wilmington, Delaware 19899-1347. The sole
trustee of the Shari Arison Continued Trust is JMD Delaware. The name, residence
or business address and principal occupation or employment of each director,
executive officer and controlling person of JMD Delaware are set forth in Item
2(c)(v)."
Item 2 is hereby further amended by deleting paragraph (c)(xv) and
replacing it with the following:
"The Shari Arison Trust No. 1 is a Jersey trust established for the
benefit of Shari Arison. The address of the trust is c/o Cititrust (Jersey)
Limited, P.O. Box 728, 38 Esplanade, St. Helier, Jersey, Channel Islands. The
sole trustee of the trust is Cititrust, which is a company organized under the
laws of Jersey, Channel Islands, the principal business of which is the
provision of trustee company services. The sole trustee of the Shari Arison
Trust No. 1 is Cititrust. The name, residence or business address and principal
occupation or employment of each director, executive officer and controlling
person of Cititrust are as follows:
<TABLE>
<CAPTION>
Residence or Principal Occupation
Name Business Address or Employment
---- ---------------- -------------
<S> <C> <C>
Citibank N.A. Citibank N.A. Controlling Person
399 Park Avenue, 15th Floor
New York, New York, 10043
Debbie Sebire Cititrust (Jersey) Limited Director
38 Esplanade, St. Helier,
Jersey, Channel Islands
Janice Kearsey Cititrust (Jersey) Limited Director and Secretary
38 Esplanade, St. Helier,
Jersey, Channel Islands
Anthony Daly Cititrust (Jersey) Limited Director
38 Esplanade, St. Helier,
Jersey, Channel Islands
</TABLE>
Page 27
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
Clive Jones Cititrust (Jersey) Limited
38 Esplanade, St. Helier,
Jersey, Channel Islands
Thomas Rilko Cititrust (Jersey) Limited Banker
38 Esplanade, St. Helier,
Jersey, Channel Islands
D. Smith Freeman Citibank N.A. Trust Officer"
399 Park Avenue, 15th Floor
New York, New York, 10043
</TABLE>
Item 2 is hereby further amended by the deletion thereto of paragraphs
(c)(xvii), (c)(xviii), (c)(xx), (c)(xxi), (c)(xxii), (c)(xxiii) and (c)(xxiv).
Item 2 is hereby further amended by deleting the paragraph (c)(xxvi)
and replacing it with the following:
"James M. Dubin is a partner at the law firm of Paul, Weiss, Rifkind,
Wharton & Garrison. Mr. Dubin is the sole stockholder of JMD Delaware, a
Delaware corporation whose principal purpose is to serve as trustee for certain
trusts established for the benefit of members of the Arison family, the sole
stockholder of JMD Protector, a Delaware corporation whose principal purpose is
to serve as protector for certain trusts established for the benefit of members
of the Arison family, and the sole stockholder of Balluta, an Isle of Man
corporation whose principal purpose is to serve as trustee for certain trusts
established for the benefit of members of the Arison family. Mr. Dubin's
business address is Paul, Weiss, Rifkind, Wharton & Garrison, 1285 Avenue of the
Americas, New York, New York 10019-6064."
Item 2 is further amended by the addition thereto of the following:
"(c)(xxvii) Lin Trust No. 2 is a Jersey trust established for the
benefit of Marilyn B. Arison. The address of the trust is c/o The Royal Bank of
Scotland Trust Company (Jersey) Limited, P.O. Box 298, St. Helier, Jersey,
Channels Islands. The sole trustee of the trust is RBS, which is a company
organized under the laws of Jersey, Channels Islands, the principal business of
which is the provision of trustee company services. The name, residence or
business address and principal occupation or employment of each director,
executive officer and controlling person of RBS are as follows:
Page 28
<PAGE>
<TABLE>
<CAPTION>
Residence or Principal Occupation
Name Business Address or Employment
---- ---------------- -------------
<S> <C> <C>
The Royal Bank of Royal Bank House, Controlling Person
Scotland plc. P.O. Box 64,
71 Bath Street, St. Helier
Jersey, Channel Islands
James Downie Paton Royal Bank House, Director
P.O. Box 64,
71 Bath Street, St. Helier
Jersey, Channel Islands
Kathryn Anne Winup Royal Bank House, Director
P.O. Box 64,
71 Bath Street, St. Helier
Jersey, Channel Islands
Duncan Baxter Waverley House, Director
59-63 Bath Street, St. Helier
Jersey, Channel Islands
Timothy Paul Renault Waverley House, Director
59-63 Bath Street, St. Helier
Jersey, Channel Islands
Barry Derek Poole Waverley House, Director
59-63 Bath Street, St. Helier
Jersey, Channel Islands
David Michael William Waverley House, Director
Ballingall 59-63 Bath Street, St. Helier
Jersey, Channel Islands
Laurent Thebault Waverley House, Director
59-63 Bath Street, St. Helier
Jersey, Channel Islands
</TABLE>
(c)(xxviii) The Foundation is a private charitable foundation organized
under the laws of the State of Florida, established by Ted Arison, for the
benefit of certain charities. The business address of the Foundation is 3655
N.W. 87th Avenue, 8th Floor, Miami, Florida 33178-2428. The name, residence or
business address and principal occupation or employment of each trustee,
executive officer and controlling person of the Foundation are as follows:
Page 29
<PAGE>
<TABLE>
<CAPTION>
Residence or Principal Occupation
Name Business Address or Employment
---- ---------------- -------------
<S> <C> <C>
Shari Arison Dorsman Marcaz Golda, 23 Shaul Chairman of the Board of
Hamelech Boulevard, Tel- Trustees, Secretary and
Aviv 64367 Israel Treasurer of the
Foundation
Marilyn Arison Marcaz Golda, 23 Shaul Trustee of the Foundation
Hamelech Boulevard, Tel-
Aviv 64367 Israel
Madeleine Arison 3655 N.W. 87th Avenue Trustee of the Foundation
Miami, FL 33178-2428
Micky Arison 3655 N.W. 87th Avenue Chairman of the Board
Miami, FL 33178-2428 and Chief Executive
Officer of the Issuer
Jason Arison 3655 N.W. 87th Avenue Trustee of the Foundation
Miami, FL 33178-2428
Shalom C. Escott 3655 N.W. 87th Avenue President of the
Miami, FL 33178-2428 Foundation
Arnaldo Perez 3655 N.W. 87th Avenue General Counsel of the
Miami, FL 33178-2428 Issuer, Vice-President and
Assistant Secretary of the
Foundation
</TABLE>
(c)(xxix) RBS is a Jersey corporation the principal business of which
is to carry on the business of a trustee company generally. The address of RBS
is The Royal Bank of Scotland Trust Company (Jersey) Limited, P.O. Box 298, St.
Helier, Jersey, Channels Islands. The name, residence or business address and
principal occupation or employment of each director, executive officer and
controlling person of RBS are set forth in Item 2(c)(xxviii).
(c)(xxx) Cititrust is a Jersey corporation the principal business of
which is to carry on the business of a trustee company generally. The address of
Cititrust is Cititrust (Jersey) Limited, P.O. Box 728, 38 Esplanade, St. Helier,
Jersey, Channel Islands. The name, residence or business address and principal
occupation or employment of each director, executive officer and controlling
person of RBS are set forth in Item 2(c)(xv).
(c)(xxxi) JMD Protector is a Delaware corporation, the principal
business of which is to serve as a protector of certain trusts. The address of
the corporation is c/o Paul, Weiss, Rifkind, Wharton & Garrison, 1285 Avenue of
the Americas, 10019-6064. The corporation is the protector of the Shari Arison
Page 30
<PAGE>
Guernsey Trust, Shari Arison Trust No. 1 and Lin Trust No. 2 and has certain
voting and dispositive rights with respect to the Common Stock held by such
trusts. The name, residence or business address and principal occupation or
employment of each director, executive officer and controlling person of JMD
Protector are as follows:
<TABLE>
<CAPTION>
Residence or Principal Occupation
Name Business Address or Employment
---- ---------------- -------------
<S> <C> <C>
James M. Dubin Paul, Weiss, Rifkind, Wharton Attorney-at-Law at
& Garrison Paul, Weiss, Rifkind,
1285 Avenue of the Americas Wharton & Garrison
New York, New York 10019
Jonathan R. Bell Paul, Weiss, Rifkind, Wharton Attorney-at-Law at
& Garrison Paul, Weiss, Rifkind,
1285 Avenue of the Americas Wharton & Garrison
New York, New York 10019
Eric Goodison Paul, Weiss, Rifkind, Wharton Attorney-at-Law at
& Garrison Paul, Weiss, Rifkind,
1285 Avenue of the Americas Wharton & Garrison
New York, New York 10019
</TABLE>
(c)(xxxii) Balluta is an Isle of Man Corporation, the principal
business of which is to serve as a protector of certain trusts established for
the benefit of members of the Arison family. The address of the corporation is
St. James Chambers, Athol Street, Douglas, Isle of Man. The name, residence or
business address and principal occupation or employment of each director,
executive officer and controlling person of Balluta are set forth in Item
2(c)(xiii)."
Item 2 is hereby further amended by deleting paragraph (f), and
replacing it with the following:
"The natural persons who are Reporting Persons or officers, directors
or controlling persons of the Reporting Persons have the following citizenship:
Madeleine Arison, Marilyn Arison, Micky Arison, Jonathan R. Bell, James
M. Dubin, Henry Eckstein, Eric Goodison, Denison H. Hatch, Jr.,
Johannes R. Krahmer, Thomas R. Pulsifer, D. Smith Freeman, Walter C.
Tuthill and Arnaldo Perez: United States;
Shari Arison and Jason Arison: Israel and United States;
Shalom Escott: Israel; and
Page 31
<PAGE>
David Michael William Ballingall, Duncan Baxter, Alan Crowther, Anthony
Daly, Janice Kearsey, Clive Jones, James Downie Paton, Barry Derek
Poole, Timothy Paul Renault, Philip Peter Scales, Debbie Sebire,
Laurent Thebault and Kathryn Anne Winup: British."
Item 4. Purpose of Transaction.
Item 4 is hereby amended by the addition thereto of the following:
"Since the last report and following an application to the Court of
Family Matters, Tel-Aviv, Israel, substantially all the shares of Common Stock
held by the Estate of Ted Arison have been distributed to the Lin Trust No. 2,
the Shari Arison Trust No. 1 and the 1997 Irrevocable Trust for Micky Arison, as
set forth in the will of Ted Arison, dated July 8, 1999. Following such
distribution, the estate of Ted Arison has been terminated and Andrew H.
Weinstein and Boaz Nahir have been discharged as the estate's executors.
In addition, TAF Management Company has ceased to be the trustee of the
Shari Arison Continued Trust and the Micky Arison Continued Trust. JMD Delaware
is now the trustee of these trusts. A.H.W. Limited has ceased to be the trustee
of the Shari Arison Guernsey Trust. Balluta is now the trustee of this trust.
Kentish Limited has ceased to be the protector for the Lin Trust No. 2
and the Shari Arison Trust No. 1. JMD Protector is now the protector for these
trusts.
As a result, the Marilyn B. Arison Irrevocable Delaware Trust, MBA I,
LLC, the Continued Trust for Michael Arison, TAF Management Company, A.H.W.
Limited, Kentish Limited, Andrew H. Weinstein and Boaz Nahir are no longer
Reporting Persons.
The Shari Arison Irrevocable Trust has made a gift of 250,000 shares of
Common Stock to the Foundation.
Micky Arison has been granted an additional 60,000 shares of Common
Stock pursuant to the Issuer's 1993 Restricted Stock Plan and his long-term
compensation agreement. Mr. Arison contributed such shares of Common Stock to MA
1997, L.P.
None of the Reporting Persons have any current plans to change the
management or operations of the Issuer."
Page 32
<PAGE>
Item 5. Interest in Securities of the Issuer.
Item 5 is hereby amended by the deletion thereto of the first
paragraph.
Item 5 is hereby further amended by deleting the fifth, sixth and
seventh paragraphs and replacing them with the following:
"The Micky Arison 1997 Trust beneficially owns 4,682,708 shares of
Common Stock (approximately 0.8% of the total number of shares reported in the
Issuer's Quarterly Report on Form 10-Q for the quarter ending August 31, 1999 to
be outstanding as of October 14, 1999), by virtue of being the sole stockholder
of MA 1997, Inc. The Micky Arison 1997 Trust has shared voting power and sole
dispositive power with respect to all such shares of Common Stock.
MA 1997, L.P. beneficially owns 4,682,708 shares of Common Stock
(approximately 0.8% of the total number of shares reported in the Issuer's
Quarterly Report on Form 10-Q for the quarter ending August 31, 1999 to be
outstanding as of October 14, 1999), all of which it holds directly. MA 1997,
L.P. has shared voting and sole dispositive power with respect to all such
shares of Common Stock that it holds directly.
MA 1997, Inc. beneficially owns 4,682,708 shares of Common Stock
(approximately 0.8% of the total number of shares reported in the Issuer's
Quarterly Report on Form 10-Q for the quarter ending August 31, 1999 to be
outstanding as of October 14, 1999), by virtue of being the general partner of
MA 1997, L.P. MA 1997, Inc. has shared voting and sole dispositive power with
respect to all such shares of Common Stock."
Item 5 is hereby further amended by deleting the eleventh paragraph and
replacing it with the following:
"Micky Arison beneficially owns an aggregate of 225,255,024 shares of
Common Stock (approximately 37.3% of the total number of shares reported in the
Issuer's Quarterly Report on Form 10-Q for the quarter ending February 29, 2000
to be outstanding as of April 11, 2000), 2,072,000 shares of which are
underlying vested options which he holds directly, 4,682,708 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,
108,114,284 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 and 110,386,032 shares with respect to which he has a beneficial
interest by virtue of the interest and authority granted to him under the last
will of Ted Arison, dated July 8, 1999. Micky Arison shares voting power with
respect to the 46,145,830 shares of Common Stock held by the Lin Trust No. 2 and
with respect to the Shari Arison Trust No. 1. Micky Arison has sole voting and
dispositive power with respect to the 17,538,393 shares of Common Stock
Page 33
<PAGE>
held by the 1997 Irrevocable Trust for Micky Arison. Micky Arison shares voting
and has sole dispositive power with respect to the 4,682,708 shares of Common
Stock indirectly held by the Micky Arison 1997 Trust and has sole voting and
dispositive power with respect to the 108,114,284 shares of Common Stock
indirectly held by the B Trust."
Item 5 is hereby further amended by the deletion thereto of its
thirteenth paragraph.
Item 5 is hereby further amended by deleting the fourteenth paragraph
and replacing it with the following:
"The Shari Arison Guernsey Trust beneficially owns an aggregate of
6,852,708 shares of Common Stock (approximately 1.1% of the total number of
shares reported in the Issuer's Quarterly Report on Form 10-Q for the quarter
ending February 29, 2000, to be outstanding as of April 11, 2000), 5,750,000 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 of Common Stock."
Item 5 is hereby further amended by deleting the sixteenth paragraph
and replacing it with the following:
"The Shari Arison Trust No. 1 beneficially owns the 76,787,525 shares
of Common Stock for which it exercises shared dispositive power (approximately
12.7% of the total number of shares reported in the Issuer's Quarterly Report on
Form 10-Q for the quarter ending February 29, 2000, to be outstanding as of
April 11, 2000). JMD Protector is the protector of the Shari Arison Trust No. 1
and pursuant to the terms of the trust instrument for such trust shares voting
and dispositive power with respect of the 76,787,525 shares of Common Stock held
by it. Accordingly, JMD Protector may be deemed to beneficially own such shares
for which it exercises shared voting and dispositive power. JMD Protector
disclaims beneficial ownership of such shares."
Item 5 is hereby further amended by the deletion thereto of its
eighteenth, nineteenth, twenty-first, twenty-second, twenty-third and
twenty-fourth paragraphs.
Item 5 is hereby further amended by deleting the twenty-fifth and
twenty-sixth paragraphs and replacing them with the following:
"JMD Delaware beneficially owns an aggregate of 11,400,728 shares of
Common Stock (approximately 1.9% of the total number of shares reported in the
Issuer's Quarterly Report on Form 10-Q for the quarter ending February 29, 2000
to be outstanding as of April 11, 2000), by virtue of being the trustee of the
1997 MA Trust, the Shari Arison Continued Trust and the Micky Arison Continued
Trust.
Page 34
<PAGE>
JMD Delaware has shared voting and sole dispositive power with respect to the
shares of Common Stock indirectly held by the Micky Arison 1997 Trust. JMD
Delaware shares voting and dispositive power with respect to the shares of
Common Stock held by the Shari Arison Continued Trust and the Micky Arison
Continued Trust. Accordingly, JMD Delaware may be deemed to beneficially own
such shares for which it exercises voting and dispositive power. JMD Delaware
disclaims beneficial ownership of all such shares.
James M. Dubin beneficially owns an aggregate of 141,186,791 shares of
Common Stock (approximately 23.4% of the total number of shares reported in the
Issuer's Quarterly Report on Form 10-Q for the quarter ending February 29, 2000,
to be outstanding as of April 11, 2000), by virtue of being the sole shareholder
of JMD Delaware, JMD Protector and Balluta. Mr. Dubin has shared voting and sole
dispositive power with respect to the shares of Common Stock indirectly held by
the Micky Arison 1997 Trust. Mr. Dubin shares voting and dispositive power with
respect to the shares of Common Stock held by the Shari Arison Continued Trust,
the Micky Arison Continued Trust, the Shari Arison Trust No. 1, the Lin Trust
No. 2 and the Shari Arison Guernsey 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.
The Lin Trust No. 2 beneficially owns the 46,145,830 shares of Common
Stock for which it exercises shared dispositive power (approximately 7.6% of the
total number of shares reported in the Issuer's Quarterly Report on Form 10-Q
for the quarter ending February 29, 2000 to be outstanding as of April 11,
2000). JMD Protector is the protector of the Lin Trust No. 2 and pursuant to the
terms of the trust instrument for such trust has sole voting and shared
dispositive power with respect to the 46,145,830 shares of Common Stock held by
it. Accordingly, JMD Protector may be deemed to beneficially own such shares for
which it exercises sole voting and shared dispositive power. JMD Protector
disclaims beneficial ownership of such shares.
The Foundation beneficially owns the 250,000 shares of Common Stock for
which it exercises sole voting and dispositive power (approximately 0.04% of the
total number of shares reported in the Issuer's Quarterly Report on Form 10-Q
for the quarter ending February 29, 2000 to be outstanding as of April 11,
2000).
RBS beneficially owns 46,145,830 shares of Common Stock (approximately
7.6% of the total number of shares reported in the Issuer's Quarterly Report on
Form 10-Q for the quarter ending February 29, 2000 to be outstanding as of April
11, 2000), by virtue of being the trustee of the Lin Trust No. 2. RBS has shared
dispositive power with respect to the shares of Common Stock held by the Lin
Trust No. 2. Accordingly, RBS may be deemed to beneficially own such shares for
which it exercises shared dispositive power. RBS disclaims beneficial ownership
of such shares.
Page 35
<PAGE>
Cititrust beneficially owns 76,787,525 shares of Common Stock
(approximately 12.7% of the total number of shares reported in the Issuer's
Quarterly Report on Form 10-Q for the quarter ending February 29, 2000 to be
outstanding as of April 11, 2000), by virtue of being the trustee of the Shari
Arison Trust No. 1. Cititrust has shared dispositive power with respect to the
shares of Common Stock held by the Shari Arison Trust No. 1. Accordingly,
Cititrust may be deemed to beneficially own such shares for which it exercises
shared dispositive power. Cititrust disclaims beneficial ownership of such
shares.
JMD Protector beneficially owns an aggregate of 122,933,355 shares of
Common Stock (approximately 20.3% of the total number of shares reported in the
Issuer's Quarterly Report on Form 10-Q for the quarter ending February 29, 2000
to be outstanding as of April 11, 2000), by virtue of being the protector of the
Shari Arison Trust No. 1 and the Lin Trust No. 2. JMD Protector shares voting
and dispositive power with respect to the shares of Common Stock held by the
Shari Arison Trust No. 1 and the Lin Trust No. 2. Accordingly, JMD Protector may
be deemed to beneficially own such shares for which it exercises shared voting
and dispositive power. JMD Protector disclaims beneficial ownership of all such
shares.
Balluta beneficially owns 6,852,708 shares of Common Stock
(approximately 1.1% of the total number of shares reported in the Issuer's
Quarterly Report on Form 10-Q for the quarter ending February 29, 2000, to be
outstanding as of April 11, 2000), by virtue of being the trustee of the Shari
Arison Guernsey Trust. Balluta shares dispositive power with respect to the
5,750,000 shares of Common Stock directly held by the Shari Arison Guernsey
Trust and with respect to 1,102,708 shares of Common Stock 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."
Item 5 is hereby further amended by deleting the twenty-seventh
paragraph and replacing it with the following:
"The Reporting Persons, as a group, beneficially own an aggregate of
265,756,740 shares of Common Stock (approximately 44.0% of the total number of
shares reported in the Issuer's Quarterly Report on Form 10-Q for the quarter
ending February 29, 2000, to be outstanding as of April 11, 2000). The Reporting
Persons, as a group, have sole voting and dispositive power over all such shares
of Common Stock."
Item 7. Material to be Filed as Exhibits
Exhibit 13 Joint Filing Agreement, dated as of May 22, 2000, 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
Irrevocable Trust, the Shari Arison Continued Trust, the Shari
Arison
Page 36
<PAGE>
Trust No. 1, Shari Arison, Marilyn B. Arison, JMD Delaware,
James M. Dubin, the Lin Trust No. 2, the Foundation, RBS,
Cititrust, JMD Protector and Balluta.
Page 37
<PAGE>
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 22, 2000
TAMMS INVESTMENT COMPANY, MA 1997 HOLDINGS, L.P., MA 1997
LIMITED PARTNERSHIP HOLDINGS, INC., GENERAL
PARTNER
By: TAMMS MANAGEMENT
CORPORATION, MANAGING By: /s/ Denison H. Hatch, Jr.
GENERAL PARTNER --------------------------
Denison H. Hatch, Jr., Secretary
By: /s/ Micky Arison
----------------
Micky Arison, President
MA 1997 HOLDINGS, INC.
TAMMS MANAGEMENT By: /s/ Denison H. Hatch, Jr.
CORPORATION -------------------------
Denison H. Hatch, Jr, Secretary
By: /s/ Micky Arison
----------------
Micky Arison, President
MICKY ARISON 1994 "B" TRUST,
JMD DELAWARE, INC., TRUSTEE
CONTINUED TRUST FOR MICKY
ARISON, JMD DELAWARE, INC., By: /s/ Denison H. Hatch, Jr.
TRUSTEE -------------------------
Denison H. Hatch, Jr.
By: /s/ Denison H. Hatch, Jr. Secretary of Corporate Trustee
-------------------------
Denison H. Hatch, Jr.
Secretary of Corporate Trustee MA 1994 B SHARES, L.P., MA 1994 B
SHARES, INC., GENERAL PARTNER
MICKY ARISON 1997 HOLDINGS By: /s/ Denison H. Hatch, Jr.
TRUST, JMD DELAWARE, INC., -------------------------
TRUSTEE Denison H. Hatch, Jr.
Secretary
By: /s/ Denison H. Hatch, Jr.
-------------------------
Denison H. Hatch, Jr.
Secretary of Corporate Trustee
Page 38
<PAGE>
MA 1994 B SHARES, INC. JMD DELAWARE, INC.
By: /s/ Denison H. Hatch, Jr. By: /s/ Denison H. Hatch, Jr.
------------------------- -------------------------
Denison H. Hatch, Jr. Denison H. Hatch, Jr.
Secretary Secretary
/s/ Micky Arison
- ---------------- /s/ James M. Dubin
Micky Arison ------------------
James M. Dubin
SHARI ARISON IRREVOCABLE
GUERNSEY TRUST, BALLUTA 1992 IRREVOCABLE TRUST FOR LIN
LIMITED, TRUSTEE NUMBER TWO, THE ROYAL BANK
OF SCOTLAND TRUST COMPANY
By: /s/ Philip Scales (JERSEY) LIMITED, TRUSTEE
-----------------
Philip Scales By: /s/ David Ballingall
--------------------
David Ballingall
CONTINUED TRUST FOR SHARI
ARISON DORSMAN, JMD By: /s/ Timothy Renault
DELAWARE, INC., TRUSTEE -------------------
Timothy Renault
By: /s/ Denison H. Hatch, Jr.
------------------------- ARISON FOUNDATION, INC.
Denison H. Hatch, Jr.
Secretary of Corporate Trustee By: /s/ Arnaldo Perez
-----------------
Arnaldo Perez
TED ARISON 1994 IRREVOCABLE
TRUST FOR SHARI NO. 1,
CITITRUST (JERSEY) LIMITED, THE ROYAL BANK OF SCOTLAND
TRUSTEE TRUST COMPANY (JERSEY)
LIMITED
By: /s/ Debbie Sebire
----------------- By: /s/ David Ballingall
Debbie Sebire, Director --------------------
David Ballingall
/s/ Shari Arison By: /s/ Timothy Renault
- ---------------- -------------------
Shari Arison Timothy Renault
/s/ Marilyn B. Arison
- ---------------------
Marilyn B. Arison
Page 39
<PAGE>
CITITRUST (JERSEY) LIMITED
By: /s/ Debbie Sebire
-----------------
Debbie Sebire, Director
JMD PROTECTOR, INC.
By: /s/ James Dubin
---------------
James M. Dubin
President, Director
BALLUTA LIMITED
By: /s/ Philip Scales
-----------------
Philip Scales
Page 40
<PAGE>
INDEX TO EXHIBITS
-----------------
Exhibits
- --------
13 Joint Filing Agreement, dated as of May 22, 2000, 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 Irrevocable Trust, the Shari Arison
Continued Trust, the Shari Arison Trust No. 1, Shari Arison,
Marilyn B. Arison, JMD Delaware, James M. Dubin, Ted
Arison 1992 Irrevocable Trust for Lin Number Two, Arison
Foundation, Inc., The Royal Bank of Scotland Trust Company
(Jersey) Limited, Cititrust (Jersey) Limited, JMD Protector,
Inc. and Balluta Limited.
Page 41
EXHIBIT 13
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(f) under the Securities Exchange Act of
1934, as amended, the persons named below agree to the joint filing on behalf of
each of them of an amendment or amendments to the Third Amended and Restated
Joint Statement on Schedule 13D, dated November 19, 1999. This Joint Filing
Agreement shall be included as an Exhibit to such joint filing. In evidence
thereof, each of the undersigned, being duly authorized, hereby executed this
Agreement this 22nd day of May, 2000.
TAMMS INVESTMENT COMPANY, MA 1997 HOLDINGS, L.P., MA 1997
LIMITED PARTNERSHIP HOLDINGS, INC., GENERAL
PARTNER
By: TAMMS MANAGEMENT
CORPORATION, MANAGING By: /s/ Denison H. Hatch, Jr.
GENERAL PARTNER --------------------------
Denison H. Hatch, Jr., Secretary
By: /s/ Micky Arison
----------------
Micky Arison, President
MA 1997 HOLDINGS, INC.
TAMMS MANAGEMENT By: /s/ Denison H. Hatch, Jr.
CORPORATION -------------------------
Denison H. Hatch, Jr, Secretary
By: /s/ Micky Arison
----------------
Micky Arison, President
MICKY ARISON 1994 "B" TRUST,
JMD DELAWARE, INC., TRUSTEE
CONTINUED TRUST FOR MICKY
ARISON, JMD DELAWARE, INC., By: /s/ Denison H. Hatch, Jr.
TRUSTEE -------------------------
Denison H. Hatch, Jr.
By: /s/ Denison H. Hatch, Jr. Secretary of Corporate Trustee
-------------------------
Denison H. Hatch, Jr.
Secretary of Corporate Trustee
MICKY ARISON 1997 HOLDINGS
TRUST, JMD DELAWARE, INC.,
TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-------------------------
Denison H. Hatch, Jr.
Secretary of Corporate Trustee
Page 42
<PAGE>
MA 1994 B SHARES, L.P., MA 1994 B JMD DELAWARE, INC.
SHARES, INC., GENERAL PARTNER
By: /s/ Denison H. Hatch, Jr.
By: /s/ Denison H. Hatch, Jr. -------------------------
------------------------- Denison H. Hatch, Jr.
Denison H. Hatch, Jr. Secretary
Secretary
MA 1994 B SHARES, INC. /s/ James M. Dubin
------------------
By: /s/ Denison H. Hatch, Jr. James M. Dubin
-------------------------
Denison H. Hatch, Jr.
Secretary 1992 IRREVOCABLE TRUST FOR LIN
NUMBER TWO, THE ROYAL BANK
/s/ Micky Arison OF SCOTLAND TRUST COMPANY
- ---------------- (JERSEY) LIMITED, TRUSTEE
Micky Arison
By: /s/ David Ballingall
--------------------
SHARI ARISON IRREVOCABLE David Ballingall
GUERNSEY TRUST, BALLUTA
LIMITED, TRUSTEE By: /s/ Timothy Renault
-------------------
By: /s/ Philip Scales Timothy Renault
-----------------
Philip Scales ARISON FOUNDATION, INC.
CONTINUED TRUST FOR SHARI
ARISON DORSMAN, JMD
DELAWARE, INC., TRUSTEE
By: /s/ Denison H. Hatch, Jr.
-------------------------
Denison H. Hatch, Jr.
Secretary of Corporate Trustee
TED ARISON 1994 IRREVOCABLE
TRUST FOR SHARI NO. 1,
CITITRUST (JERSEY) LIMITED,
TRUSTEE
By: /s/ Debbie Sebire
-----------------
Debbie Sebire, Director
/s/ Shari Arison
- ----------------
Shari Arison
/s/ Marilyn B. Arison
- ---------------------
Marilyn B. Arison
Page 43
<PAGE>
By: /s/ Arnaldo Perez
-----------------
Arnaldo Perez
THE ROYAL BANK OF SCOTLAND
TRUST COMPANY (JERSEY)
LIMITED
By: /s/ David Ballingall
--------------------
David Ballingall
By: /s/ Timothy Renault
-------------------
Timothy Renault
CITITRUST (JERSEY) LIMITED
By: /s/ Debbie Sebire
-----------------
Debbie Sebire, Director
JMD PROTECTOR, INC.
By: /s/ James Dubin
---------------
James M. Dubin
President, Director
BALLUTA LIMITED
By: /s/ Philip Scales
-----------------
Philip Scales
Page 44
