Statement of Changes in Beneficial Ownership (4)
January 23 2023 - 10:07AM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Bernstein David |
2. Issuer Name and Ticker or Trading
Symbol CARNIVAL PLC [ CUK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CFO & CAO |
(Last)
(First)
(Middle)
CARNIVAL CORPORATION, 3655 NW 87TH AVE |
3. Date of Earliest Transaction (MM/DD/YYYY)
1/19/2023
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(Street)
MIAMI, FL 33178
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Trust Shares (beneficial Interest in Special
Voting Share) (1) |
1/19/2023 |
|
F |
|
13387 (2) |
D |
$10.1468 |
92878 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
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. |
(2) |
Represents shares withheld
by the Company to cover taxes associated with vesting of time
vested restricted stock units granted January 19, 2021. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Bernstein David
CARNIVAL CORPORATION
3655 NW 87TH AVE
MIAMI, FL 33178 |
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CFO & CAO |
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Signatures
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/s/ David Bernstein |
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1/23/2023 |
**Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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