4//SEC Filing
CARNIVAL PLC 4
Accession 0001127602-13-032759
$CUKCIK 0001125259operating
Filed
Nov 24, 7:00 PM ET
Accepted
Nov 25, 2:11 PM ET
Size
9.6 KB
Accession
0001127602-13-032759
Insider Transaction Report
Form 4
CARNIVAL PLCCUK
FRANK HOWARD S
DirectorVice Chairman & COO
Transactions
- Gift
Trust Shares (beneficial Interest In Special Voting Share)
2013-06-21−1,794→ 0 total(indirect: Howard S. Frank Grat #5) - Sale
Trust Shares (beneficial Interest In Special Voting Share)
2013-11-21$35.70/sh−42,729$1,525,583→ 135,759.293 total - Sale
Trust Shares (beneficial Interest In Special Voting Share)
2013-11-21$35.77/sh−10,066$360,054→ 125,693.293 total
Footnotes (5)
- [F1]Bona fide gift
- [F2]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.
- [F3]This transaction was executed in multiple trades at prices ranging from $35.67 to $35.75. The price reported above 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.
- [F4]This transaction was executed in multiple trades at prices ranging from $35.76 to $35.78. The price reported above 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.
- [F5]Includes shares acquired pursuant to the purchase under, or the dividend reinvestment feature of, the Carnival Corporation Employee Stock Purchase Plan.
Documents
Issuer
CARNIVAL PLC
CIK 0001125259
Entity typeoperating
Related Parties
1- filerCIK 0001125259
Filing Metadata
- Form type
- 4
- Filed
- Nov 24, 7:00 PM ET
- Accepted
- Nov 25, 2:11 PM ET
- Size
- 9.6 KB