SEC Form 4 · accession 0001127602-18-001802
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
Jan 12, 2018
Accepted (ET)
Jan 16, 2018 · 2:34 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 |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF2 | Jan 12, 2018 | S | 8,486 | $68.2035 | D | 59,147 | D | |
| Ordinary SharesF3,F4 | Jan 12, 2018 | A | 1,000 | $0.00 | A | 60,147 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a sale of shares to satisfy the tax obligation on the release of vested restricted stock previously reported.
- F2The transaction was conducted in British Pounds. The sale price of GBP50.4772 was converted into US$ at the January 12, 2018 conversion rate of GBP1 = USD1.3512. This transaction was executed in multiple trades. The price reported 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.
- F3Represents settlement of dividend equivalents accumulated during the restricted period of a restricted stock unit award which has now vested
- F4Includes shares acquired pursuant to the dividend reinvestment feature of the reporting person's brokerage account.