UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOYES DAVID MICHAEL C/O CARNIVAL CORPORATION 3655 N.W. 87TH AVENUE MIAMI, FL 33178 |
 |  |  CEO - Carnival UK |  |
/s/ David M. Noyes | 10/10/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Award made pursuant to the Carnival plc 2005 Employee Share Plan. |
(2) | Awards of restricted stock units ("RSUs") which represent a hypothetical interest in Carnival plc ordinary shares, which will vest on the third anniversary of the grant date. The awards represented in this total are as follows: 3,261 RSUs awarded on February 15, 2012; 2,545 RSUs awarded on January 15, 2013; and 3,288 RSUs awarded on January 14, 2014. The RSUs will accumulate dividend equivalents and may only be settled in shares. |
(3) | 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 shares was to be determined by taking the value and dividing by the closing price of Carnival plc ordinary shares on the grant date. |