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Filing Details

Accession Number:: 0001127602-17-002015
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-01-19 14:48:34
Reporting Period:: 2017-01-17

Filing Date:: 2017-01-19
Accepted Time:: 2017-01-19 14:48:34
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1125259	Carnival Plc	CUK	Water Transportation (4400)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1280888	Alan Buckelew	Carnival Corporation 3655 Nw 87Th Ave Miami FL 33178	Chief Information Officer	No	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Trust Shares (Beneficial Interest In Special Voting Share)	Acquisiton	2017-01-17	14,362	$0.00	195,128	No	4	A	Direct
Trust Shares (Beneficial Interest In Special Voting Share)	Disposition	2017-01-17	5,493	$53.09	189,635	No	4	F	Direct
Trust Shares (Beneficial Interest In Special Voting Share)	Disposition	2017-01-17	9,273	$52.95	180,362	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	F	Direct
No	4	S	Direct

Footnotes

Represents 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 (fka 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.
Grant of restricted stock units ("RSUs") made pursuant to the Carnival Corporation 2011 Stock Plan. Award of RSUs represent a hypothetical interest in Carnival Corporation common stock. The restriction on the RSUs lapse on the second anniversary of the grant date. The RSUs will accumulate dividend equivalents and may only be settled in shares.
The grant was approved by the Compensation Committee as a total value to be received in the form of RSUs. The Compensation Committee also approved that the number of RSUs were determined by dividing the value by the closing price on date of grant.
Represents a surrender of shares to satisfy a tax obligation on the vesting of the RSUs.
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.