-----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, MENaqYOQIvGv5dqZB1IFfrpGKIDp3OFDDpa5wFOEuJSdKTeGjsXzfkxc8hfxLoCS cXgOG6T6yMQAITfApenD6g== 0000950142-03-001741.txt : 20031003 0000950142-03-001741.hdr.sgml : 20031003 20031003163425 ACCESSION NUMBER: 0000950142-03-001741 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031001 FILED AS OF DATE: 20031003 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: TED ARISON 1992 IRREVOCABLE TRUST FOR LIN NO 2 CENTRAL INDEX KEY: 0001250963 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 03928216 BUSINESS ADDRESS: STREET 1: C/O COUTTS JERSEY LTD STREET 2: 23-25 BROAD ST, ST. HELIER, JERSEY CITY: CHANNEL ISLANDS STATE: X0 ZIP: D9 00000 MAIL ADDRESS: STREET 1: C/O COUTTS JERSEY LTD STREET 2: 23-25 BROAD ST, ST. HELIER, JERSEY CITY: CHANNEL ISLANDS STATE: X0 ZIP: D9 00000 4 1 form4-lin100103_cplcex.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP X0201 4 2003-10-01 0 0001125259 CARNIVAL PLC CUK 0001250963 TED ARISON 1992 IRREVOCABLE TRUST FOR LIN NO 2 C/O COUTTS JERSEY LTD 23-25 BROAD ST ST. HELIER CHANNEL ISLANDS D9 00000 UNITED KINGDOM 0 0 0 1 See Footnote 2 below Ordinary Shares 0 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 5300 33.35 D 45699599 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 200 33.36 D 45699399 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 500 33.37 D 45698899 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 200 33.42 D 45698699 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 1500 33.45 D 45697199 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 2000 33.46 D 45695199 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 300 33.47 D 45694899 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 2600 33.65 D 45692299 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 7400 33.70 D 45684899 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 1200 33.71 D 45683699 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 2300 33.72 D 45681399 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 100 33.73 D 45681299 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 900 33.74 D 45680399 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 8900 33.75 D 45671499 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 200 33.77 D 45671299 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 900 33.78 D 45670399 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 6000 33.82 D 45664399 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 3100 33.83 D 45661299 D Trust Shares (beneficial interest in special voting share) 2003-10-01 4 S 0 900 33.85 D 45660399 D Represents trust shares (the "Trust Shares") of beneficial interests in P&O Princess Special Voting Trust (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 reporting person may be deemed 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. 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. The shares covered by this form are being sold pursuant to a Rule 10b5-1(c) sales plan dated August 28, 2003. John J. O'Neil, Authorized Signatory, JJO Delaware, Inc., Trustee 2003-10-03 John J. O'Neil, Authorized Signatory, JMD Delaware, Inc., Trustee 2003-10-03 -----END PRIVACY-ENHANCED MESSAGE-----