SEC Form 4 · accession 0001127602-19-002108
CARNIVAL PLC · CUK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Olaf Thamm
Officer — Group CEO - Costa Crociere
Period of report
Jan 14, 2019
Accepted (ET)
Jan 16, 2019 · 2:49 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 14, 2019 | A | 13,600 | $0.00 | A | 35,429 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock units ("MTE RSUs") made pursuant to the 2014 Carnival plc Employee Share Plan. Award of RSUs represent a hypothetical interest in Carnival plc ordinary shares. The restriction on the MTE RSUs lapse on the second anniversary of the grant date. The MTE RSUs will accumulate dividend equivalents and may only be settled in shares.
- F2The grant was approved by the Compensation Committee as a total value to be received in the form of MTE RSUs. The Compensation Committee also approved that the number of MTE RSUs were determined by dividing the value by the closing price on date of grant.