0001127602-12-028291.txt : 20121005 0001127602-12-028291.hdr.sgml : 20121005 20121005140106 ACCESSION NUMBER: 0001127602-12-028291 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121003 FILED AS OF DATE: 20121005 DATE AS OF CHANGE: 20121005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CARNIVAL PLC CENTRAL INDEX KEY: 0001125259 STANDARD INDUSTRIAL CLASSIFICATION: WATER TRANSPORTATION [4400] IRS NUMBER: 000000000 FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 5 GAINSFORD ST STREET 2: CARNIVAL HOUSE CITY: LONDON WC1A 1PP ENGL STATE: X0 ZIP: 00000 BUSINESS PHONE: 011 44 20 7940 5381 MAIL ADDRESS: STREET 1: 77 NEW OXFORD ST CITY: LONDON STATE: X0 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: P&O PRINCESS CRUISES PLC DATE OF NAME CHANGE: 20000929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DONALD ARNOLD W CENTRAL INDEX KEY: 0001083206 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 121131865 MAIL ADDRESS: STREET 1: 1110 CLAYTON PLACE DRIVE STREET 2: . CITY: ST LOUIS STATE: MO ZIP: 63131 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2012-10-03 0001125259 CARNIVAL PLC CUK 0001083206 DONALD ARNOLD W 7701 FORSYTH BOULEVARD SUITE 1025 CLAYTON MO 63105 1 Trust Shares (beneficial Interest In Special Voting Share) 2012-10-03 4 M 0 6000 27.875 A 24359 D Trust Shares (beneficial Interest In Special Voting Share) 2012-10-03 4 S 0 6000 36.5785 D 18359 D Trust Shares (beneficial Interest In Special Voting Share) 1807 I By The Arnold W. Donald Revocable Trust Uad 5/26/98 Stock Option (Right to Buy) 27.875 2012-10-03 4 M 0 6000 0 D 2003-12-02 2012-12-02 Ordinary Shares 6000 0 D 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. This transaction was executed in multiple trades at prices ranging from $36.57 to $36.60. The price reported reflects the 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. Options vested ratably over five years beginning on the first anniversary of the grant date. /s/ Arnold Donald 2012-10-05