0001127602-13-023621.txt : 20130729
0001127602-13-023621.hdr.sgml : 20130729
20130729141640
ACCESSION NUMBER: 0001127602-13-023621
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130725
FILED AS OF DATE: 20130729
DATE AS OF CHANGE: 20130729
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: PEREZ ARNALDO
CENTRAL INDEX KEY: 0001248899
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15136
FILM NUMBER: 13992079
MAIL ADDRESS:
STREET 1: 3655 NW 87TH AVE
STREET 2: C/O CARNIVAL CORP
CITY: MIAMI
STATE: FL
ZIP: 33178-2428
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2013-07-25
0001125259
CARNIVAL PLC
CUK
0001248899
PEREZ ARNALDO
CARNIVAL CORPORATION
3655 NW 87TH AVE
MIAMI
FL
33178
1
SVP, Gen Counsel & Secretary
Trust Shares (beneficial Interest In Special Voting Share)
2013-07-25
4
M
0
20000
34.45
A
74273.6402
D
Trust Shares (beneficial Interest In Special Voting Share)
2013-07-25
4
S
0
20000
36.9937
D
54273.6402
D
Stock Option (Right to Buy)
34.45
2013-07-25
4
M
0
20000
0
D
2004-10-13
2013-10-13
Ordinary Shares
20000
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 $36.98 to $37.00. The price reported reflects the 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.
Includes shares acquired pursuant to the purchase under, or the dividend reinvestment feature of, the reporting person's brokerage account or the Carnival Corporation Employee Stock Purchase Plan.
The options vest ratably over five years beginning on the first anniversary of the grant date.
/s/ Arnaldo Perez
2013-07-29