Filing Details

Accession Number:
0001127602-18-002034
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-01-18 12:18:18
Reporting Period:
2018-01-16
Accepted Time:
2018-01-18 12:18:18
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1125259 Carnival Plc CUK Water Transportation (4400) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1406203 David Bernstein Carnival Corporation
3655 Nw 87Th Ave
Miami FL 33178
Cfo & Cao No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Trust Shares (Beneficial Interest In Special Voting Share) Acquisiton 2018-01-16 8,517 $0.00 34,620 No 4 A Direct
Trust Shares (Beneficial Interest In Special Voting Share) Disposition 2018-01-16 3,419 $68.52 31,201 No 4 F Direct
Trust Shares (Beneficial Interest In Special Voting Share) Disposition 2018-01-16 2,600 $69.59 28,601 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 F Direct
No 4 S Direct
Footnotes
  1. Represents trust shares (the "Trust Shares") of beneficial interests in P&O Princess Voting Trust (the "Trust"). In connection with the dual listed company transaction between Carnival plc (fka P&O Princess Cruises plc) and Carnival Corporation (the "DLC Transaction"), Carnival plc issued one special voting share to the Trust and, following a series of transactions, the Trust Shares were distributed to holders of common stock of Carnival Corporation (the "Carnival Corporation Common Stock"). Since completion of the DLC Transaction on April 17, 2003, if Carnival Corporation issues Carnival Corporation Common Stock to a person, the Trust will issue an equivalent number of Trust Shares to such person. The Trust Shares are paired with shares of Carnival Corporation Common Stock and are represented by the same stock certificate. The Trust Shares represent a beneficial interest in the Carnival plc special voting share.
  2. Grant of restricted stock units ("RSUs") made pursuant to the Carnival Corporation 2011 Stock Plan. Award of RSUs represent a hypothetical interest in Carnival Corporation common stock. The restriction on the RSUs lapse on the second anniversary of the grant date. The RSUs will accumulate dividend equivalents and may only be settled in shares.
  3. The grant was approved by the Compensation Committee as a total value to be received in the form of RSUs. The Compensation Committee also approved that the number of RSUs were determined by dividing the value by the closing price on date of grant.
  4. Represents a surrender of shares to satisfy a tax obligation on the vesting of the RSUs.