0001127602-20-002067.txt : 20200121 0001127602-20-002067.hdr.sgml : 20200121 20200121152105 ACCESSION NUMBER: 0001127602-20-002067 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200116 FILED AS OF DATE: 20200121 DATE AS OF CHANGE: 20200121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thamm Michael Olaf CENTRAL INDEX KEY: 0001553147 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 20536248 MAIL ADDRESS: STREET 1: COSTA CROCIERE SPA STREET 2: PIAZZA PICCAPIETRA, 48 CITY: GENOVA STATE: L6 ZIP: 16121 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 2020-01-16 0001125259 CARNIVAL PLC CUK 0001553147 Thamm Michael Olaf C/O CARNIVAL CORPORATION 3655 N.W. 87TH AVENUE MIAMI FL 33178 1 Group CEO - Costa Crociere Ordinary Shares 2020-01-16 4 F 0 3131 36.32 D 58731.652 D Ordinary Shares 2020-01-17 4 F 0 3840 37.101 D 55810.652 D Ordinary Shares 2020-01-17 4 A 0 4050 0 A 59860.652 D Represents a surrender of shares to satisfy a tax obligation on the vesting of restricted stock units ("RSUs") granted January 16, 2018, and settlement of dividend equivalents. The transaction was conducted in British Pounds. The sale price of GBP36.32 was converted into US$ at the January 16, 2020 conversion rate of GBP1 = USD1.30221. Represents a surrender of shares to satisfy a tax obligation on the vesting of RSUs granted January 17, 2017, and settlement of dividend equivalents. The transaction was conducted in British Pounds. The sale price of GBP37.1010 was converted into US$ at the January 17, 2020 conversion rate of GBP1 = USD1.30562. Grant of RSUs made pursuant to the 2014 Carnival plc Employee Share Plan. Award of RSUs represent a hypothetical interest in Carnival plc ordinary shares. The RSUs will vest on January 17, 2022. The 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 RSUs. The Compensation Committee also approved that the number of RSUs were determined by dividing the value by the closing price on date of grant. Includes shares acquired pursuant to purchases made under the Carnival Corporation Employee Stock Purchase Plan (ESPP), dividend reinvestments under the ESPP or the reporting person's brokerage account and/or dividend equivalent shares associated with the release of RSU grants. /s/ Michael O. Thamm 2020-01-21