FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/01/2012 |
3. Issuer Name and Ticker or Trading Symbol
CARNIVAL PLC [ CUK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Ordinary Shares | 15,184(1)(2)(3) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy)(4) | 02/28/2008 | 02/27/2015 | Ordinary Shares | 5,700 | $57.36(5) | D | |
Stock Option (Right to Buy)(1) | 02/21/2009 | 02/20/2013 | Ordinary Shares | 6,500 | $54.45(6) | D |
Explanation of Responses: |
1. Award made pursuant to the Carnival plc 2005 Employee Share Plan. |
2. Awards of restricted stock units ("RSUs") which represent a hypothetical interest in Carnival plc ordinary shares, which will vest on the third anniversary of the grant date. The awards represented in this total are as follows: 4,938 RSUs awarded on February 1, 2010; 3,990 RSUs awarded on January 19, 2011; and 6,256 RSUs awarded on February 15, 2012. 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 restricted stock units. The Compensation Committee also approved that the number of shares was to be determined by taking the value and dividing by the closing price on the grant date. |
4. Award made pursuant to the Carnival plc Executive Share Option Plan |
5. Approximate US dollar equivalent price based on the exchange rate on the grant date of February 28, 2005. |
6. Approximate US dollar equivalent price based on the exchange rate on the grant date of February 21, 2006. |
/s/ Michael O. Thamm | 07/10/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |