-----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, BKU3x1B0Q267q5KecYBfYllnXgMUk0Y3BdsX5f2yK6u9ANZsGTEGlyjkc7GlcIpv b8jDnh0J1gAA5UG0kkBQHA== 0000950142-04-003810.txt : 20041105 0000950142-04-003810.hdr.sgml : 20041105 20041105195325 ACCESSION NUMBER: 0000950142-04-003810 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041103 FILED AS OF DATE: 20041105 DATE AS OF CHANGE: 20041105 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: ARISON MICKY MEIR CENTRAL INDEX KEY: 0001142244 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 041124028 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-ma110304_cplcex.xml FORM 4 X0202 4 2004-11-03 0 0001125259 CARNIVAL PLC CUK 0001142244 ARISON MICKY MEIR 3655 N.W. 87 AVENUE MIAMI FL 33178-2428 1 1 1 0 Chairman and CEO Ordinary Shares 0 D Trust Shares (beneficial interest in special voting share) 2539265 I By MA 1997 Holdings, L.P. Trust Shares (beneficial interest in special voting share) 3622922 I By the Nickel 2003 GRAT Trust Shares (beneficial interest in special voting share) 2004-11-03 4 S 0 25000 51.90 D 3696893 I By the Nickel 1997 Irrevocable Trust Trust Shares (beneficial interest in special voting share) 2004-11-03 4 S 0 75000 52 D 3621893 I By the Nickel 1997 Irrevocable Trust Trust Shares (beneficial interest in special voting share) 2004-11-04 4 S 0 50000 52.50 D 3571893 I By the Nickel 1997 Irrevocable Trust Trust Shares (beneficial interest in special voting share) 2004-11-04 4 S 0 30500 52.63 D 3541393 I By the Nickel 1997 Irrevocable Trust Trust Shares (beneficial interest in special voting share) 2004-11-04 4 S 0 500 52.64 D 3540893 I By the Nickel 1997 Irrevocable Trust Trust Shares (beneficial interest in special voting share) 2004-11-04 4 S 0 23500 52.70 D 3517393 I By the Nickel 1997 Irrevocable Trust Trust Shares (beneficial interest in special voting share) 2004-11-04 4 S 0 1500 52.73 D 3515893 I By the Nickel 1997 Irrevocable Trust Trust Shares (beneficial interest in special voting share) 2004-11-05 4 S 0 20000 52.78 D 3495893 I By the Nickel 1997 Irrevocable Trust Trust Shares (beneficial interest in special voting share) 2004-11-05 4 S 0 10000 52.80 D 3485893 I By the Nickel 1997 Irrevocable Trust The reporting person may be deemed a member of a Section 13(d) group that owns more than 10% of the trust shares (the "Trust Shares") of beneficial interests in P&O Princess Special Voting Trust (the "Trust") 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. Represents Trust Shares of beneficial interests in 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 prices included on this form represent the sales price for the paired Trust Shares and shares of Carnival Corporation Common Stock. The shares covered by this form were sold pursuant to a Rule 10b5-1(c) sales plan dated August 28, 2003. /s/ Micky M. Arison 2004-11-05 -----END PRIVACY-ENHANCED MESSAGE-----