0001127602-20-013631.txt : 20200413 0001127602-20-013631.hdr.sgml : 20200413 20200413162356 ACCESSION NUMBER: 0001127602-20-013631 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: PARKER SIR JOHN CENTRAL INDEX KEY: 0001243487 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15136 FILM NUMBER: 20789007 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 0001243487 PARKER SIR JOHN C/O CARNIVAL CORPORATION 3655 N.W. 87TH AVENUE MIAMI FL 33178 1 Trust Shares (beneficial Interest In Special Voting Share) 2020-04-09 4 A 0 14090 0 A 44108.8954 D Trust Shares (beneficial Interest In Special Voting Share) 2020-04-09 4 A 0 2214 12.42 A 46322.8954 D Ordinary Shares 3004 D Ordinary Shares 7000 I By Trust 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. Issued pursuant to the Carnival Corporation 2020 Stock Plan. The restriction on the shares lapses on the third anniversary of the grant date. The Board of Directors approved a value of $175,000 to be awarded to the reporting person in the form of restricted shares. The number of shares was determined by dividing this value by the closing price of a share of Carnival Corporation common stock on April 9, 2020, then rounding down to the nearest whole share. The grant, which reflects the reporting person voluntarily deferring their Board of Director retainer and committee fees for April to June 2020 in the form of restricted shares as described in FN5, was approved by the Compensation Committee. The number of shares was determined by dividing the deferred retainer and committees fees 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 shares lapses on February 12, 2021. Includes shares acquired pursuant to the dividend reinvestment feature of the reporting person's brokerage account. Shares held by Whitefoord Limited on behalf of GHM Trustees Limited, the trustee for the reporting person's Fixed Unapproved Restricted Retirement Scheme. Shares held by Roy Nominees Limited on behalf of GHM Trustees Limited, the trustee for the reporting person's Fixed Unapproved Restricted Retirement Scheme. /s/ Sir John Parker 2020-04-13