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