SEC Form 4 · accession 0001127602-17-035607
CARNIVAL PLC · CUK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Olaf Thamm
Officer — CEO - Costa Crociere
Period of report
Dec 27, 2017
Accepted (ET)
Dec 29, 2017 · 10:55 am 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 |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1,F2,F3 | Dec 27, 2017 | S | 28,000 | $66.59 | D | 67,631 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a sale of shares to satisfy the tax obligation on the release of vested Performance Restricted Stock Units previously reported on December 29, 2016.
- F2The transaction was conducted in British Pounds. The sale price of GBP48.63 was converted into US$ at the December 27, 2017 conversion rate of GBP1 = USD1.3369. This transaction was executed in multiple trades at prices ranging from $66.04 to $66.765. The price reported above reflects the average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3Includes shares acquired pursuant to the dividend reinvestment feature of the reporting person's brokerage account.