0000950142-14-001292.txt : 20140624 0000950142-14-001292.hdr.sgml : 20140624 20140609090149 ACCESSION NUMBER: 0000950142-14-001292 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140605 FILED AS OF DATE: 20140609 DATE AS OF CHANGE: 20140609 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: MA 1994 B SHARES LP CENTRAL INDEX KEY: 0001251586 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 14898246 BUSINESS ADDRESS: STREET 1: 1201 NORTH MARKET ST CITY: WILMINGTON STATE: DE ZIP: 19899-1347 MAIL ADDRESS: STREET 1: 1201 NORTH MARKET ST CITY: WILMINGTON STATE: DE ZIP: 19899-1347 4 1 es1400767_4-ma1994b.xml OWNERSHIP DOCUMENT X0306 4 2014-06-05 0 0001125259 CARNIVAL PLC CUK 0001251586 MA 1994 B SHARES LP 1201 NORTH MARKET ST WILMINGTON DE 19899-1347 0 0 0 1 See remarks Trust Shares(Beneficial Interest in Special Voting Share) 2014-06-05 4 S 0 230038 40.1152 D 97022370 D Trust Shares(Beneficial Interest in Special Voting Share) 2014-06-06 4 S 0 328220 40.3309 D 96694150 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 (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. These shares were sold pursuant to a Rule 10b5-1(c) sales plan dated February 28, 2014, relating to the sale of up to 5,000,000 shares of Carnival Corporation Common Stock. The transaction was executed in multiple trades at prices ranging from $40.03 to $40.19. The price reported above reflects the weighted average purchase prices on the dates indicated. 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 transactions were effected. The transaction was executed in multiple trades at prices ranging from $40.135 to $40.55. The price reported above reflects the weighted average purchase prices on the dates indicated. 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 transactions were effected. The reporting person may be deemed a member of a Section 13(d) group that owns more than 10% of the issuer's outstanding Common Stock. However, the reporting person disclaims such group membership, and this report shall not be deemed an admission that the reporting person is a member of a Section 13(d) group that owns more than 10% of the issuer's outstanding Common Stock for purposes of Section 16 or for any other purpose. /s/ John J. O'Neil, attorney-in-fact 2014-06-09