0001127602-12-030538.txt : 20121113 0001127602-12-030538.hdr.sgml : 20121112 20121113135307 ACCESSION NUMBER: 0001127602-12-030538 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121108 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KRUSE STEIN CENTRAL INDEX KEY: 0001270033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 121197853 MAIL ADDRESS: STREET 1: HOLLAND AMERICA LINE STREET 2: 300 ELLIOTT AVE WEST CITY: SEATTLE STATE: WA ZIP: 98119 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2012-11-08 0001125259 CARNIVAL PLC CUK 0001270033 KRUSE STEIN CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 President & CEO, HAL Trust Shares (beneficial Interest In Special Voting Share) 2012-11-08 4 M 0 10800 26.565 A 110928.9714 D Trust Shares (beneficial Interest In Special Voting Share) 2012-11-08 4 S 0 10800 38.9201 D 100128.9714 D Trust Shares (beneficial Interest In Special Voting Share) 2012-11-08 4 S 0 10000 38.9559 D 90128.9714 D Trust Shares (beneficial Interest In Special Voting Share) 2012-11-09 4 S 0 217.545 38.89 D 89911.4264 D Ordinary Shares 3554.033 D Stock Option (Right to Buy) 26.565 2012-11-08 4 M 0 10800 0 D 2004-04-17 2013-04-17 Ordinary Shares 10800 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 $38.90 to $38.94. 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. This transaction was executed in multiple trades at prices ranging from $38.93 to $38.98. 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. Represents 3,554.0330 American Depository Shares acquired under the Carnival plc 2005 Employee Stock Purchase Plan. Options vest ratably over five years beginning on the first anniversary of the grant date. /s/ Stein Kruse 2012-11-12