Carnival Corporation & plc (CUK) 8-K Submission of Matters to a Vote of Security Holders

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) April 20, 2021

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)
1-9610	1-15136
(Commission File Number)	(Commission File Number)
59-1562976	98-0357772
(I.R.S. Employer Identification No.)	(I.R.S. Employer Identification No.)
3655 N.W. 87th Avenue Miami, Florida 33178-2428 United States of America	Carnival House 100 Harbour Parade Southampton SO15 1ST United Kingdom
(Address of principal executive offices) (Zip code)	(Address of principal executive offices) (Zip code)
(305) 599-2600	011 44 23 8065 5000
(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 registrant 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))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
Common Stock ($0.01 par value)	CCL	New York Stock Exchange, Inc.
Ordinary Shares each represented by American Depositary Shares ($1.66 par value), Special Voting Share, GBP 1.00 par value and Trust Shares of beneficial interest in the P&O Princess Special Voting Trust	CUK	New York Stock Exchange, Inc.
1.875% Senior Notes due 2022	CUK22	New York Stock Exchange LLC
1.000% Senior Notes due 2029	CUK29	New York Stock Exchange LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

Section 5 – Corporate Governance and Management.

Item 5.07 – Submission of Matters to a Vote of Security Holders.

The annual meetings of shareholders of Carnival Corporation and Carnival plc were held on April 20, 2021 (the “Annual Meetings”). On all matters which came before the Annual Meetings, holders of Carnival Corporation common stock and Carnival plc ordinary shares were entitled to one vote for each share held. Proxies for 694,388,982 shares entitled to vote were received in connection with the Annual Meetings.

The matters which were submitted to Carnival Corporation and Carnival plc’s shareholders for approval at the Annual Meetings and the tabulation of the final votes with respect to each such matter were as follows:

Director Elections.

	Proposal	For		Against		Abstain		Broker Non-Votes
1.	To re-elect Micky Arison as a director of Carnival Corporation and Carnival plc		486,674,702		29,178,010		1,659,553		176,876,717
2.	To re-elect Sir Jonathon Band as a director of Carnival Corporation and Carnival plc		487,769,759		28,030,472		1,712,033		176,876,717
3.	To re-elect Jason Glen Cahilly as a director of Carnival Corporation and Carnival plc		511,436,618		3,216,243		2,859,404		176,876,717
4.	To re-elect Helen Deeble as a director of Carnival Corporation and Carnival plc		508,421,340		6,355,184		2,735,741		176,876,717
5.	To re-elect Arnold W. Donald as a director of Carnival Corporation and Carnival plc		505,972,634		9,900,709		1,638,922		176,876,717
6.	To elect Jeffrey J. Gearhart as a director of Carnival Corporation and Carnival plc		510,218,289		4,481,780		2,812,196		176,876,717
7.	To re-elect Richard J. Glasier as a director of Carnival Corporation and Carnival plc		475,298,878		40,491,605		1,721,781		176,876,717
8.	To re-elect Katie Lahey as a director of Carnival Corporation and Carnival plc		503,685,017		11,060,511		2,766,736		176,876,717
9.	To re-elect Sir John Parker as a director of Carnival Corporation and Carnival plc		460,837,307		54,957,834		1,717,123		176,876,717
10.	To re-elect Stuart Subotnick as a director of Carnival Corporation and Carnival plc		450,433,899		65,346,004		1,732,361		176,876,717
11.	To re-elect Laura Weil as a director of Carnival Corporation and Carnival plc		480,214,523		35,616,848		1,680,893		176,876,717
12.	To re-elect Randall J. Weisenburger as a director of Carnival Corporation and Carnival plc		476,866,056		38,922,216		1,723,992		176,876,717

Other Matters.

13.	To approve, on a (non-binding) advisory basis, executive compensation	463,375,416	50,700,481	3,436,367	176,876,717
14.	To approve, on a (non-binding) advisory basis, the Carnival plc Directors’ Remuneration Report	482,163,351	31,952,803	3,396,110	176,876,717

	Proposal	For		Against		Abstain		Broker Non-Votes
15.	To re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors for Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Carnival Corporation		655,073,342		36,146,930		3,168,709		0
16.	To authorize the Audit Committee of Carnival plc to determine the remuneration of the independent auditors of Carnival plc		683,470,354		7,597,046		3,321,582		0
17.	To receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2020		680,097,121		2,070,987		12,220,873		0
18.	To approve the giving of authority for the allotment of new shares by Carnival plc		655,968,292		34,742,151		3,678,539		0
19.	To approve the disapplication of pre-emption rights in relation to the allotment of new shares by Carnival plc		679,276,611		10,830,050		4,282,321		0
20.	To approve a general authority for Carnival plc to buy back Carnival plc ordinary shares in the open market		672,281,145		16,930,498		5,177,338		0
21.	To approve the Amendment of the Carnival Corporation 2020 Stock Plan		499,155,447		16,213,757		2,140,210		176,876,717

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/ Enrique Miguez	By:	/s/ Enrique Miguez
Name:	Enrique Miguez	Name:	Enrique Miguez
Title:	General Counsel	Title:	General Counsel
Date:	April 26, 2021	Date:	April 26, 2021