0001127602-19-002104.txt : 20190116
0001127602-19-002104.hdr.sgml : 20190116
20190116144429
ACCESSION NUMBER: 0001127602-19-002104
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190114
FILED AS OF DATE: 20190116
DATE AS OF CHANGE: 20190116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bernstein David
CENTRAL INDEX KEY: 0001406203
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-15136
FILM NUMBER: 19528999
MAIL ADDRESS:
STREET 1: 3655 NW 87TH AVENUE
CITY: MIAMI
STATE: FL
ZIP: 33178
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
2019-01-14
0001125259
CARNIVAL PLC
CUK
0001406203
Bernstein David
CARNIVAL CORPORATION
3655 NW 87TH AVE
MIAMI
FL
33178
1
CFO & CAO
Trust Shares (beneficial Interest In Special Voting Share)
2019-01-14
4
A
0
11977
0
A
50393.142
D
Trust Shares (beneficial Interest In Special Voting Share)
2019-01-14
4
F
0
4713
52.20
D
45680.142
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 (fka 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 ("MTE RSUs") made pursuant to the Carnival Corporation 2011 Stock Plan. Award of RSUs represent a hypothetical interest in Carnival Corporation common stock. The restriction on the MTE RSUs lapse on the second anniversary of the grant date. The MTE 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 MTE RSUs. The Compensation Committee also approved that the number of MTE RSUs were determined by dividing the value by the closing price on date of grant.
Represents a surrender of shares to satisfy a tax obligation on the vesting of the MTE RSUs.
Includes shares acquired pursuant to the dividend reinvestment feature of the reporting person's brokerage account.
/s/ David Bernstein
2019-01-16