Filing Details
- Accession Number:
- 0001127602-11-007786
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-02-28 10:13:39
- Reporting Period:
- 2011-02-25
- Filing Date:
- 2011-02-28
- Accepted Time:
- 2011-02-28 10:13:39
- 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 |
|---|---|---|---|---|---|---|---|
| 1243482 | S Howard Frank | Carnival Corporation 3655 Nw 87Th Ave Miami FL 33178 | Vice Chairman & Coo | Yes | 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 | 2011-02-25 | 20,000 | $27.88 | 413,859 | No | 4 | M | Direct | |
| Trust Shares (Beneficial Interest In Special Voting Share) | Acquisiton | 2011-02-25 | 40,000 | $34.45 | 453,859 | No | 4 | M | Direct | |
| Trust Shares (Beneficial Interest In Special Voting Share) | Disposition | 2011-02-25 | 180,000 | $42.60 | 273,859 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Stock Option (Right to Buy) | Disposition | 2011-02-25 | 20,000 | $0.00 | 20,000 | $27.88 |
| Ordinary Shares | Stock Option (Right to Buy) | Disposition | 2011-02-25 | 40,000 | $0.00 | 40,000 | $34.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2003-12-02 | 2012-12-02 | No | 4 | M | Direct |
| 0 | 2004-10-13 | 2013-10-13 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Trust Shares (Beneficial Interest In Special Voting Share) | 907 | Indirect | Howard S. Frank GRAT #4 |
| Trust Shares (Beneficial Interest In Special Voting Share) | 8,592 | Indirect | Howard S. Frank GRAT #5 |
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 (f/k/a 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.
- This transaction was executed in multiple trades at prices ranging from $42.50 to $42.73. The price reported above reflects the weighted 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.
- Represents stock options granted under the Carnival Corporation 2002 Stock Plan.
- The options vest ratably over five years beginning on the first anniversary of the grant date.
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