SEC Form 5 · accession 0000950142-15-000077
CARNIVAL PLC · CUK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Micky Meir Arison
Officer — Chairman of the Board · Director · 10% Owner
Period of report
Nov 30, 2014
Accepted (ET)
Jan 13, 2015 · 5:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001125259
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Trust Shares(Beneficial Interest in Special Voting Share)F1 | Nov 25, 2014 | G | 85,498 | $0.00 | D | 0 | I | By Nickel 2009 GRAT |
| Trust Shares(Beneficial Interest in Special Voting Share)F1,F2 | Nov 25, 2014 | G | 85,498 | $0.00 | A | 841,506 | I | By NA 2008 Trust |
| Trust Shares(Beneficial Interest in Special Voting Share)F1 | Nov 25, 2014 | G | 85,497 | $0.00 | D | 0 | I | By Nickel 2009 GRAT |
| Trust Shares(Beneficial Interest in Special Voting Share)F1,F3 | Nov 25, 2014 | G | 85,497 | $0.00 | A | 841,506 | I | By KA 2008 Trust |
| Trust Shares(Beneficial Interest in Special Voting Share)F1,F4 | holding | — | — | — | 99,007,679 | I | By Various Trusts |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 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.
- F2The Reporting Person disclaims beneficial ownership of the shares of common stock held by the NA 2008 Trust.
- F3The Reporting Person disclaims beneficial ownership of the shares of common stock held by the KA 2008 Trust.
- F4Includes (i) 95,736,445 shares of common stock held by MA 1994 B Shares, L.P. and (ii) 3,271,234 shares of common stock held by the Nickel 2003 Revocable Trust.