| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CARNIVAL PLC [ CUK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/05/2004 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | ||||||
| Ordinary Shares | 0 | D | ||||||||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 2,102,187 | I | By MA 1997 Holdings, L.P. | |||||||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 106,114,284 | I | By MA 1994 B Shares, L.P. | |||||||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/05/2004 | S | 16,400(4) | D | $40.5 | 13,447,478 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/05/2004 | S | 8,600(4) | D | $40.51 | 13,438,878 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/05/2004 | S | 13,900(4) | D | $40.55 | 13,424,978 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/05/2004 | S | 1,100(4) | D | $40.56 | 13,423,878 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/05/2004 | S | 2,200(4) | D | $40.57 | 13,421,678 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/05/2004 | S | 6,100(4) | D | $40.58 | 13,415,578 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/05/2004 | S | 1,700(4) | D | $40.59 | 13,413,878 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 1,800(4) | D | $40.65 | 13,412,078 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 600(4) | D | $40.66 | 13,411,478 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 24,300(4) | D | $40.7 | 13,387,178 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 1,300(4) | D | $40.71 | 13,385,878 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 4,300(4) | D | $40.72 | 13,381,578 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 12,200(4) | D | $40.73 | 13,369,378 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 5,200(4) | D | $40.74 | 13,364,178 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 39,200(4) | D | $40.75 | 13,324,978 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 15,300(4) | D | $40.76 | 13,309,678 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 14,500(4) | D | $40.77 | 13,295,178 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
| Trust Shares (beneficial interest in special voting share)(1)(2)(3) | 01/06/2004 | S | 1,300(4) | D | $40.78 | 13,293,878 | I | By The 1997 Irrevocable Trust for Micky Arison | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 Special Voting Trust (the "Trust"). In connection with the dual listed company transaction between Carnival plc (formerly known as 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"). |
| 2. Following the completion of the DLC Transaction, 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. |
| 3. The reporting person may be deemed a member of a Section 13(d) group that owns more than 10% of the Trust Shares and an interest in the Carnival plc special voting share. However, the reporting person disclaims such group membership, and this report shall not be deemed an admission that the reporting person is a member of a Section 13(d) group that owns more than 10% of the Trust Shares and an interest in the Carnival plc special voting share for purposes of Section 16 or for any other purpose. |
| 4. The shares covered by this form were sold pursuant to a Rule 10b5-1(c) sales plan dated August 28, 2003. |
| Micky M. Arison | 01/07/2004 | |
| ** 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 Number. | ||