Filing Details

Accession Number:
0001127602-11-007786
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-02-28 10:13:39
Reporting Period:
2011-02-25
Filing Date:
2011-02-28
Accepted Time:
2011-02-28 10:13:39
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
1243482 S Howard Frank Carnival Corporation
3655 Nw 87Th Ave
Miami FL 33178
Vice Chairman & Coo Yes 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 2011-02-25 20,000 $27.88 413,859 No 4 M Direct
Trust Shares (Beneficial Interest In Special Voting Share) Acquisiton 2011-02-25 40,000 $34.45 453,859 No 4 M Direct
Trust Shares (Beneficial Interest In Special Voting Share) Disposition 2011-02-25 180,000 $42.60 273,859 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Ordinary Shares Stock Option (Right to Buy) Disposition 2011-02-25 20,000 $0.00 20,000 $27.88
Ordinary Shares Stock Option (Right to Buy) Disposition 2011-02-25 40,000 $0.00 40,000 $34.45
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2003-12-02 2012-12-02 No 4 M Direct
0 2004-10-13 2013-10-13 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Trust Shares (Beneficial Interest In Special Voting Share) 907 Indirect Howard S. Frank GRAT #4
Trust Shares (Beneficial Interest In Special Voting Share) 8,592 Indirect Howard S. Frank GRAT #5
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 (f/k/a 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. This transaction was executed in multiple trades at prices ranging from $42.50 to $42.73. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  3. Represents stock options granted under the Carnival Corporation 2002 Stock Plan.
  4. The options vest ratably over five years beginning on the first anniversary of the grant date.