SEC Form 4 · accession 0001127602-19-007080
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
Feb 15, 2019
Accepted (ET)
Feb 20, 2019 · 2:17 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 Shares | Feb 15, 2019 | A | 22,020 | $0.00 | A | 70,449 | D | |
| Ordinary SharesF3 | Feb 15, 2019 | S | 10,528 | $55.8736 | D | 59,921 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Vesting of performance-based restricted stock units ("PBS RSUs") granted on April 13, 2016 pursuant to the Carnival plc 2014 Employee Share Plan. Each PBS RSU represents one share of Carnival plc ordinary shares.
- F2Represents a sale of shares to satisfy the tax obligation on the release of vested PBS RSUs.
- F3The transaction was conducted in British Pounds. The sale price of GBP43.5687 was converted into US$ at the February 15, 2019 conversion rate of GBP1 = USD1.28243.