SEC Form 4 · accession 0001127602-15-014609
CARNIVAL PLC · CUK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sir Jonathon Band
Director
Period of report
Apr 14, 2015
Accepted (ET)
Apr 16, 2015 · 3:03 pm EDT
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,F3,F4 | Apr 14, 2015 | A | 3,369 | $0.00 | A | 20,552 | D |
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 (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.
- F2Issued pursuant to the Carnival Corporation 2011 Stock Plan. The restriction on the shares lapses on the third anniversary of the grant date.
- F3The Board of Directors approved a value of $160,000 to be awarded to the reporting person in the form of restricted shares. The number of shares was determined by dividing the closing price of a share of Carnival Corporation common stock on April 14, 2015 and dividing it into $160,000, then rounding down to the nearest whole share.
- F4Includes shares acquired pursuant to the dividend reinvestment feature of the reporting person's brokerage account.