0001127602-20-002064.txt : 20200121 0001127602-20-002064.hdr.sgml : 20200121 20200121151610 ACCESSION NUMBER: 0001127602-20-002064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200116 FILED AS OF DATE: 20200121 DATE AS OF CHANGE: 20200121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bernstein David CENTRAL INDEX KEY: 0001406203 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 20536232 MAIL ADDRESS: STREET 1: 3655 NW 87TH AVENUE CITY: MIAMI STATE: FL ZIP: 33178 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: 100 HARBOUR PARADE STREET 2: CARNIVAL HOUSE CITY: SOUTHAMPTON SO15 1ST STATE: X0 ZIP: 00000 BUSINESS PHONE: 011 44 23 8065 5000 MAIL ADDRESS: STREET 1: 100 HARBOUR PARADE STREET 2: CARNIVAL HOUSE CITY: SOUTHAMPTON SO15 1ST 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 2020-01-16 0001125259 CARNIVAL PLC CUK 0001406203 Bernstein David CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 CFO & CAO Trust Shares (beneficial Interest In Special Voting Share) 2020-01-16 4 F 0 87 50.9086 D 46812.114 D Trust Shares (beneficial Interest In Special Voting Share) 2020-01-17 4 F 0 165 51.8148 D 47322.114 D Trust Shares (beneficial Interest In Special Voting Share) 2020-01-17 4 A 0 5780 0 A 53102.114 D Trust Shares (beneficial Interest In Special Voting Share) 2020-01-17 4 F 0 2275 51.90 D 50827.114 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. Represents a surrender of shares to satisfy a tax obligation on the settlement of dividend equivalents for restricted stock units ("RSUs") granted January 16, 2018. Represents a surrender of shares to satisfy a tax obligation on the settlement of dividend equivalents for RSUs granted January 17, 2017. Grant of RSUs made pursuant to the Carnival Corporation 2011 Stock Plan. Award of RSUs represent a hypothetical interest in Carnival Corporation common stock. The RSUs will vest 50% as of January 17, 2020 due to the Reporting Person becoming eligible for retirement due to his age and 50% as of January 17, 2022. The RSUs will accumulate dividend equivalents and may only be settled in shares. The grant was approved by the Compensation Committee as a total value to be received in the form of RSUs. The Compensation Committee also approved that the number of RSUs were determined by dividing the value by the closing price on date of grant. Represents a surrender of shares to satisfy a tax obligation on the vesting of MTE RSUs referenced in FN(4). Includes shares acquired pursuant to purchases made under the Carnival Corporation Employee Stock Purchase Plan (ESPP), dividend reinvestments under the ESPP or the reporting person's brokerage account and/or dividend equivalent shares associated with the release of RSU grants. /s/ David Bernstein 2020-01-21