0001127602-22-003635.txt : 20220207 0001127602-22-003635.hdr.sgml : 20220207 20220207190500 ACCESSION NUMBER: 0001127602-22-003635 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220204 FILED AS OF DATE: 20220207 DATE AS OF CHANGE: 20220207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anderson Peter C. CENTRAL INDEX KEY: 0001835123 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 22598891 MAIL ADDRESS: STREET 1: 1541 BRICKELL AVENUE STREET 2: UNIT B-2604 CITY: MIAMI STATE: FL ZIP: 33129 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 2022-02-04 0001125259 CARNIVAL PLC CUK 0001835123 Anderson Peter C. CARNIVAL CORPORATION 3655 N.W. 87TH AVENUE MIAMI FL 33178 1 Chief Ethics & Compliance Trust Shares (beneficial Interest In Special Voting Share) 2022-02-04 4 A 0 15030 0 A 79351 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. Grant of restricted stock units ("RSUs") made pursuant to the Carnival Corporation 2020 Stock Plan. Grant of RSUs represent a hypothetical interest in Carnival Corporation common stock. The RSUs will vest on a 3-year pro-rata basis on February 15, 2023, February 15, 2024 and February 18, 2025. 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. /s/ Peter C. Anderson 2022-02-07