-----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, CYdpBGfwAPMS3O807g4OHUA97F4GBFeyO3BX8DCgmiA6VhQ3yFOcNio56I00VDtx Ih8nzXH2kPT81di70eoZ9A== 0000950142-04-000320.txt : 20040203 0000950142-04-000320.hdr.sgml : 20040203 20040203181316 ACCESSION NUMBER: 0000950142-04-000320 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040130 FILED AS OF DATE: 20040203 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CARNIVAL PLC CENTRAL INDEX KEY: 0001125259 STANDARD INDUSTRIAL CLASSIFICATION: WATER TRANSPORTATION [4400] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5 GAINSFORD ST STREET 2: CARNIVAL HOUSE CITY: LONDON WC1A 1PP ENGL STATE: X0 ZIP: 00000 MAIL ADDRESS: STREET 1: 77 NEW OXFORD ST CITY: LONDON STATE: X0 FORMER COMPANY: FORMER CONFORMED NAME: P&O PRINCESS CRUISES PLC DATE OF NAME CHANGE: 20000929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MA 1997 HOLDINGS LP CENTRAL INDEX KEY: 0001142247 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 04564258 BUSINESS ADDRESS: STREET 1: C/O PAUL WEISS RIFKIND WHARTON STREET 2: 1285 AVENUE OF THE AMERICAS 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10019-6064 BUSINESS PHONE: 2123732983 MAIL ADDRESS: STREET 1: C/O PAUL WEISS RIFKIND WHARTON STREET 2: 1285 AVENUE OF THE AMERICAS 2ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10019-6064 4 1 form4-97lp013004_cplcex.xml X0201 4 2004-01-30 0 0001125259 CARNIVAL PLC CUK 0001142247 MA 1997 HOLDINGS LP 1201 NORTH MARKET STREET WILMINGTON DE 19899-1347 0 0 0 1 See footnote (3) below Ordinary Shares 0 D Trust Shares (beneficial interest in special voting share) 2004-01-30 4 G 0 60000 0 A 2162187 D Represents trust shares (the "Trust Shares") of beneficial interests in P&O Princess Special Voting Trust (the "Trust"). In connection with the dual listed company transaction between Carnival plc (formerly known as 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"). Following the completion of the DLC Transaction, 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. The reporting person may be deemed a member of a Section 13(d) group that owns more than 10% of the Trust Shares and an interest in the Carnival plc special voting share. 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 Trust Shares and an interest in the Carnival plc special voting share for purposes of Section 16 or for any other purpose. On January 30, 2004, Micky Arison received 60,000 restricted shares of Carnival Corporation common stock under the Carnival Corporation 2002 Stock Plan and the Executive Long-Term Compensation Agreement between Micky Arison and Carnival Corporation. On that same day, Micky Arison transferred all 60,000 shares of Carnival Corporation common stock to MA 1997 Holdings, L.P. for no consideration. The restrictions on the 60,000 shares lapse effective January 30, 2009. MA 1997 Holdings, Inc., as General Partner /s/ John J. O'Neil, Vice President 2004-02-03 -----END PRIVACY-ENHANCED MESSAGE-----