0000950142-14-000110.txt : 20140116 0000950142-14-000110.hdr.sgml : 20140116 20140116175304 ACCESSION NUMBER: 0000950142-14-000110 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140114 FILED AS OF DATE: 20140116 DATE AS OF CHANGE: 20140116 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: ARISON MICKY MEIR CENTRAL INDEX KEY: 0001142244 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 14533140 MAIL ADDRESS: STREET 1: C/O PAUL WEISS RIFKIND WHARTON STREET 2: 1285 AVENUE OF THE AMERICAS 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10019-6064 4 1 es1400160_4-cuk.xml OWNERSHIP DOCUMENT X0306 4 2014-01-14 0 0001125259 CARNIVAL PLC CUK 0001142244 ARISON MICKY MEIR C/O CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 1 1 0 Chairman of the Board Trust Shares (beneficial Interest In Special Voting Share) 2014-01-14 4 A 0 63242 0 A 63242 D Trust Shares (beneficial Interest In Special Voting Share) 2014-01-14 5 G 0 E 63242 0 D 0 D Trust Shares (beneficial Interest In Special Voting Share) 2014-01-14 5 G 0 E 63242 0 A 4621772 I By Nickel 2003 Revocable Trust Trust Shares (beneficial Interest In Special Voting Share) 106131560 I By Various Trusts 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. The grant was approved by the Compensation Committee as a total value to be received in the form of restricted shares. The Compensation Committee also approved that the number of shares was to be determined by dividing the value by the closing price on date of grant. Gift of Shares to the Nickel 2003 Revocable Trust. Includes (i) 100,638,843 shares of common stock held by MA 1994 B Shares, L.P.; (ii) 538,393 shares of common stock held by the Nickel 97-07 Trust; (iii) 442,307 shares of common stock held by the Nickel 2009 GRAT; (iv) 3,000,000 shares of common stock held by the Nickel 97A-B Trust; (v) 756,008 shares of common stock held by the NA 2008 Trust; and (vi) 756,009 shares of common stock held by the KA 2008 Trust. The Reporting Person disclaims beneficial ownership of the shares of common stock held by the NA 2008 Trust and the KA 2008 Trust. /s/ John J. O'Neil, attorney-in-fact 2014-01-16