Filing Details
- Accession Number:
- 0001127602-18-002034
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-01-18 12:18:18
- Reporting Period:
- 2018-01-16
- Accepted Time:
- 2018-01-18 12:18:18
- 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 |
|---|---|---|---|---|---|---|---|
| 1406203 | David Bernstein | Carnival Corporation 3655 Nw 87Th Ave Miami FL 33178 | Cfo & Cao | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Trust Shares (Beneficial Interest In Special Voting Share) | Acquisiton | 2018-01-16 | 8,517 | $0.00 | 34,620 | No | 4 | A | Direct | |
| Trust Shares (Beneficial Interest In Special Voting Share) | Disposition | 2018-01-16 | 3,419 | $68.52 | 31,201 | No | 4 | F | Direct | |
| Trust Shares (Beneficial Interest In Special Voting Share) | Disposition | 2018-01-16 | 2,600 | $69.59 | 28,601 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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.
Billionaire Hedge Funds
