0001127602-12-013777.txt : 20120413
0001127602-12-013777.hdr.sgml : 20120413
20120413143246
ACCESSION NUMBER: 0001127602-12-013777
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120411
FILED AS OF DATE: 20120413
DATE AS OF CHANGE: 20120413
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FRANK HOWARD S
CENTRAL INDEX KEY: 0001243482
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15136
FILM NUMBER: 12758362
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
4
1
form4.xml
PRIMARY DOCUMENT
X0305
4
2012-04-11
0001125259
CARNIVAL PLC
CUK
0001243482
FRANK HOWARD S
CARNIVAL CORPORATION
3655 NW 87TH AVE
MIAMI
FL
33178
1
1
Vice Chairman & COO
Trust Shares (beneficial Interest In Special Voting Share)
2012-04-11
4
A
0
9336
0
A
224000.7986
D
Trust Shares (beneficial Interest In Special Voting Share)
2012-04-11
4
F
0
3403
31.25
D
220597.7986
D
Trust Shares (beneficial Interest In Special Voting Share)
5880
I
Howard S. Frank GRAT #5
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.
On April 11, 2012, the reporting person was granted 23,340 performance-based restricted stock units ("Performance RSUs"). The Reporting Person may earn from 0-200% of his target amount of Performance RSUs depending on the extent of Carnival Corporation & plc's earnings per share growth over the three-year performance period ending with fiscal 2014, subject to his continued employment during the performance period (with earlier partial vesting in certain cases upon eligibility for retirement, or death or disability, prior to the expiration of the performance period). Because, as of the date of the grant, the Reporting Person was eligible for retirement due to his age, 9,336 Performance RSU's vested on April 11, 2012.
Represents a surrender of shares to satisfy the tax obligation on the vesting of the Performance RSUs.
Includes shares acquired pursuant to purchase under, or the dividend reinvestment feature of, the Carnival Corporation Employee Stock Purchase Plan.
/s/ Howard S Frank
2012-04-13