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