0001127602-20-013623.txt : 20200413 0001127602-20-013623.hdr.sgml : 20200413 20200413161714 ACCESSION NUMBER: 0001127602-20-013623 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200409 FILED AS OF DATE: 20200413 DATE AS OF CHANGE: 20200413 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KRUSE STEIN CENTRAL INDEX KEY: 0001270033 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 20788958 MAIL ADDRESS: STREET 1: HOLLAND AMERICA LINE STREET 2: 300 ELLIOTT AVE WEST CITY: SEATTLE STATE: WA ZIP: 98119 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 2020-04-09 0001125259 CARNIVAL PLC CUK 0001270033 KRUSE STEIN CARNIVAL CORPORATION 3655 NW 87TH AVE MIAMI FL 33178 1 CEO, Holland America Group Trust Shares (beneficial Interest In Special Voting Share) 2020-04-09 4 A 0 17186 12.42 A 101992.728 D Ordinary Shares 4567.009 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 (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. The grant, which reflects the reporting person voluntarily deferring their salary for April to June 2020 in the form of restricted stock units ("RSUs") as described in FN3, was approved by the Compensation Committee. The number of RSUs was determined by dividing the deferred salary by the closing price of a share of Carnival Corporation common stock on April 9, 2020, then rounding down to the nearest whole share. Issued pursuant to the Carnival Corporation 2020 Stock Plan. The restriction on the RSUs lapses on February 12, 2021. Includes shares acquired pursuant to the purchase under, or the dividend reinvestment feature of, the Carnival Corporation Employee Stock Purchase Plan or brokerage account. /s/ Stein Kruse 2020-04-13