-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, S778PbDkk9J53NJJ1y3rMOEN2lru4+842mtyPlGgw184BMPQKAUtZX8/m0mgIFit qGODoa2Z9iei87Wh2PKOOg== 0001127602-11-003291.txt : 20110201 0001127602-11-003291.hdr.sgml : 20110201 20110201173535 ACCESSION NUMBER: 0001127602-11-003291 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110128 FILED AS OF DATE: 20110201 DATE AS OF CHANGE: 20110201 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: 11564162 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 X0303 4 2011-01-28 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) 2011-01-28 4 A 0 6540 0 A 382791.4776 D Trust Shares (beneficial Interest In Special Voting Share) 2011-01-28 4 F 0 2384 44.61 D 380407.4776 D Trust Shares (beneficial Interest In Special Voting Share) 5073 I Howard S. Frank GRAT #4 Trust Shares (beneficial Interest In Special Voting Share) 8954 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 January 28, 2011, the reporting person was granted 16,350 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 2013, 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, 6,540 Performance RSU's vested on January 28, 2011. Represents a surrender of shares to satisfy tax obligation on the vesting of the Performance RSUs. /s/ Howard S Frank 2011-02-01 -----END PRIVACY-ENHANCED MESSAGE-----