-----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, U/W9kgk7bDUV8vVBSyu2pstBaGp/JWGgvCsYiglIdmCAwuuAM51nTqe3fNMTsS3S Tf9Z/7eXvj1bmw7I732OiA== 0001125259-03-000031.txt : 20031015 0001125259-03-000031.hdr.sgml : 20031013 20031015145323 ACCESSION NUMBER: 0001125259-03-000031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031013 FILED AS OF DATE: 20031015 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: CAPEN RICHARD G JR CENTRAL INDEX KEY: 0001243478 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 03941668 BUSINESS ADDRESS: STREET 1: BOX 2494 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: 8587569984 4 1 edgar.xml PRIMARY DOCUMENT X0201 42003-10-13 0001125259 CARNIVAL PLC CUK 0001243478 CAPEN RICHARD G JR 6077 SAN ELIJO RANCHO SANTA FE CA 92067 1000Stock Option (Right to Buy)34.452003-10-134A060000A2004-10-132013-10-13T rust Shares (beneficial interest in special voting share)60006000DRepresents stock options granted under the Carnival Corporation 2001 Outside Directors Stock Option Plan.The options vest ratably over five years beginning on the first anniversary of the grant date, October 13, 2003.Represents trust shares (the "Trust Shares") of beneficial interests in P&O Princess Voting Trust (the "Trust"). In connection with the dual listed company tra nsaction 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.Richard G. Capen2003-10-13 -----END PRIVACY-ENHANCED MESSAGE-----