-----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, KCTCaDJahzoegTVmGiPCw53mOalCtsXBUQhUxDNJ/f2oTQe+RKEj08nELFdbP+h4 8IRw14zpgNyuQnfQqkTp/A== 0001125259-03-000025.txt : 20030804 0001125259-03-000025.hdr.sgml : 20030804 20030804091351 ACCESSION NUMBER: 0001125259-03-000025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030801 FILED AS OF DATE: 20030804 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DICKINSON ROBERT H CENTRAL INDEX KEY: 0001251016 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 03819192 MAIL ADDRESS: STREET 1: PO BOX 725 CITY: SHORT HILLS STATE: NJ ZIP: 07078 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 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-08-01 0001125259 CARNIVAL PLC CUK 0001251016 DICKINSON ROBERT H C/O CARNIVAL CORPORATION 3655 NW 87TH AVENUE MIAMI FL 33178 1100President and CEO - Trust Shares (beneficial interest in special voting share)2003-08-014A0400000A201449.6048DTrust Shares (beneficial interest in special voting share)2003-08-014G02000000D1449.6048DTrust Shares (beneficial interest in special voting share)2003-08-014G02000000A461622.3869IBy Dickin son Enterprises Limited PartnershipTrust Shares (beneficial interest in special voting share)2003-08-014S05707134.2458D404551.6869IBy Dickinson Enterprises Limited PartnershipStock Option - Right to Buy34.252003-08-014A0800000A2004-08-012013-08-01Trust Shares (beneficial interest in special voting share)80000624000DRepresents 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 co mmon 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 common stock pursuant to the Amended and Restated Carnival Corporation 2002 Stock Plan (the "2002 Plan"), an Executive Long-Term Compensation Agreement dated January 16, 1998 (the "Agreement") and a Restricted Stock Agreement (a "Restricted Agreement") dated August 1, 2003 pursuant to which the reporting person obtains non-forfeitable rights to 40,000 shares on 8/1/08. These shares are subject to the forfeiture provisio ns of the 2002 Plan, the Agreement and the Restricted Agreement and the transferability restrictions set forth therein.Transfer of restricted shares to Dickinson Enterprises Limited Partnership.Includes 7.0062 shares acquired pursuant to the terms of a dividend reinvestment feature of Carnival Corporation's Employee Stock Purchase Plan.200,000 of these shares were granted under the terms of the Carnival Corporation 1993 Restricted Stock Plan (the "1993 Plan"), 2002 Plan and an Executive Long-Term Compensation Agreement dated January 16, 1998 (the "Agreement") pursuant to which the reporting person obtains non-forfeitable rights to 40,000 shares on each of 8/1/04, 8/1/05, 8/1/06, 8/1/07 and 8/1/08. These shares are subject to the forfeiture provisions of the 1993 Plan and the Agreement and the transferability restrictions set forth therein.160,000 of these shares were grante d under the terms of the 2002 Plan, the Agreement and the Restricted Agreement dated April 17, 2003 pursuant to which the reporting person obtains non-forfeitable rights in equal amounts on each of 4/17/04, 4/17/05, 4/17/06, 4/17/07 and 4/17/08. These shares are subject to the forfeiture provisions of the 2002 Plan, the Agreement and a Restricted Agreement and the transferability restrictions set forth therein.The options become exercisable in five equal annual installments on the anniversary of the grant date specified in column 3.Represents an average price per share sold. The actual prices are 20,000 at $34.22; 1,000 at $34.25; 19,000 at $34.24; 700 at $34.28; 9,300 at $34.27; and 7,017 at $34.30.Robert H. Dickinson2003-08-01 -----END PRIVACY-ENHANCED MESSAGE-----