-----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, Nw21wTTWZDSDhlyPI9NVALCzn/fr4nk1u5X7M2SuWJag+M52PYhItv4JknICUZbY Jpym8qoWTDNQ0GHdLTT4mA== 0000950142-09-001703.txt : 20091021 0000950142-09-001703.hdr.sgml : 20091021 20091021164847 ACCESSION NUMBER: 0000950142-09-001703 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091019 FILED AS OF DATE: 20091021 DATE AS OF CHANGE: 20091021 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: NICKEL CONTINUED IRREVOCABLE TRUST CENTRAL INDEX KEY: 0001470522 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 091130485 BUSINESS ADDRESS: STREET 1: ATTENTION: DAVID LEY HAMILTON STREET 2: 1201 NORTH MARKET STREET, 18TH FLOOR CITY: WILMINGTON STATE: DE ZIP: 19801 BUSINESS PHONE: 302-658-9200 MAIL ADDRESS: STREET 1: ATTENTION: DAVID LEY HAMILTON STREET 2: 1201 NORTH MARKET STREET, 18TH FLOOR CITY: WILMINGTON STATE: DE ZIP: 19801 4 1 form4-nci_cplc101909ex.xml FORM 4 X0303 4 2009-10-19 0 0001125259 CARNIVAL PLC CUK 0001470522 NICKEL CONTINUED IRREVOCABLE TRUST ATTENTION: DAVID LEY HAMILTON 1201 NORTH MARKET STREET, 18TH FLOOR WILMINGTON DE 19801 0 0 1 1 See Remarks Trust Shares (interest in special voting share) 2009-10-19 4 S 0 42491 33.5953 D 548909 D Trust Shares (interest in special voting share) 2009-10-20 4 S 0 42491 33.3390 D 506418 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 August 12, 2009. This transaction was executed in multiple trades at prices ranging from $33.1700 to $34.0400. 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. This transaction was executed in multiple trades at prices ranging from $33.0300 to $33.7500. 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 Common Stock of CarnivalCorporation. However, the reporting person disclaims such group membership, and this report shall not be deemed an admission that the reporting person is amember of a Section 13(d) group that owns more than 10% of the Common Stock of Carnival Corporation for purposes of Section 16 or for anyother purpose. /s/ John J. O'Neil, Vice President of JMD Delaware, Inc., as Trustee for Nickel Continued Irrevocable Trust 2009-10-21 -----END PRIVACY-ENHANCED MESSAGE-----