-----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, AQRcuiSvqlevS8WlgCjOFzq9BfvKxDc3AYNZHH1hYcMqSGiHhP+zYOSw/Pp22kjz hChUhbISCiWYUJdq/Slchg== 0001125259-03-000022.txt : 20030703 0001125259-03-000022.hdr.sgml : 20030703 20030703121428 ACCESSION NUMBER: 0001125259-03-000022 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030701 FILED AS OF DATE: 20030703 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: FRANK HOWARD S CENTRAL INDEX KEY: 0001243482 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 03774395 BUSINESS ADDRESS: STREET 1: 3655 NW 87 AVE CITY: MIAMI STATE: FL ZIP: 33126 BUSINESS PHONE: 3055992600X19067 4 1 edgar.xml PRIMARY DOCUMENT X0101 42003-07-01 0001125259 CARNIVAL PLC CUK 0001243482 FRANK HOWARD S 1100Vice Chairman & COOTrust Shares (beneficial interest in special voting share)2003-07-014S05000032.2975D370040.4188DTrust Shares (beneficial interest in special voting share)2003-07-014M040000011.25A770040.4188DTrust Shares (beneficial interest in special voting share)2003-07-014S040000032.2975D370040.4188DTrust Shares (beneficial interest in special voting share)2003-07-014S0960032.48D0IBy SpouseTrust Shares (beneficial interest in special voting share)2003-07-014S0200232.327D0IBy TrustTrust Shares (beneficial interest in s pecial voting share)2003-07-014S0200032.327D0IBy TrustOption to purchase Trust Shares (beneficial interest in spec 11.252003-07-014M04000000D1999-05-302005-05-30Trust Shares (beneficial interest in special voting share)400000800000DRepresents 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.Represents an average price per share sold. The actual prices are 1,000 at $32.49; 20,000 at $32.45; 10,000 at $32.43; 61,300 at $32.35; 2,800 at $32.34; 7,200 at $32.33; 22,000 at $32.32; 7,900 at $32.31; 66,800 at $32.30; 29,300 at $32.29; 37,000 at $32.28; 28,800 at $32.27; 17,600 at $32.26; and 138,300 at $32.25.The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.Shares are owned by the Jackson S. Woolworth Irrevocable Trust of which the reporting person is trustee.Shares are owned by the C assidy B. Woolworth 2001 Irrevocable Trust of which the reporting person is trustee.The options vested 20% on May 30, 1995, the grant date, and then 20% on each anniversary of the grant date in 1996, 1997, 1998 and 1999.Includes 14.7437 Trust Shares acquired pursuant to the terms of a dividend reinvestment feature of the Carnival Corporation Employee Stock Purchase Plan.Howard S. Frank2003-07-01 -----END PRIVACY-ENHANCED MESSAGE-----