-----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, IzG6eJ8G8evrJcqsPU5u21pMA74htQB0vbj4dGKguSSo6xtdRqnV4bocIuTIDa5A MyJsjrdMBBJWrslF1e2p2Q== 0001127602-11-007786.txt : 20110228 0001127602-11-007786.hdr.sgml : 20110228 20110228101339 ACCESSION NUMBER: 0001127602-11-007786 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110225 FILED AS OF DATE: 20110228 DATE AS OF CHANGE: 20110228 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: 11643549 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 2011-02-25 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) 2011-02-25 4 M 0 20000 27.875 A 413859.4776 D Trust Shares (beneficial Interest In Special Voting Share) 2011-02-25 4 M 0 40000 34.45 A 453859.4776 D Trust Shares (beneficial Interest In Special Voting Share) 2011-02-25 4 S 0 180000 42.6039 D 273859.4776 D Trust Shares (beneficial Interest In Special Voting Share) 907 I Howard S. Frank GRAT #4 Trust Shares (beneficial Interest In Special Voting Share) 8592 I Howard S. Frank GRAT #5 Stock Option (Right to Buy) 27.875 2011-02-25 4 M 0 20000 0 D 2003-12-02 2012-12-02 Ordinary Shares 20000 0 D Stock Option (Right to Buy) 34.45 2011-02-25 4 M 0 40000 0 D 2004-10-13 2013-10-13 Ordinary Shares 40000 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 (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. This transaction was executed in multiple trades at prices ranging from $42.50 to $42.73. The price reported above reflects the weighted 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. Represents stock options granted under the Carnival Corporation 2002 Stock Plan. The options vest ratably over five years beginning on the first anniversary of the grant date. /s/ Howard S Frank 2011-02-18 -----END PRIVACY-ENHANCED MESSAGE-----