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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy)
(4)
|
02/28/2008 |
02/27/2015 |
Ordinary Shares
|
5,700
|
$
57.36
(5)
|
D
|
Â
|
Stock Option (Right to Buy)
(1)
|
02/21/2009 |
02/20/2013 |
Ordinary Shares
|
6,500
|
$
54.45
(6)
|
D
|
Â
|
* |
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: 4,938 RSUs awarded on February 1, 2010; 3,990 RSUs awarded on January 19, 2011; and 6,256 RSUs awarded on February 15, 2012. 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 restricted stock units. The Compensation Committee also approved that the number of shares was to be determined by taking the value and dividing by the closing price on the grant date. |
(4) |
Award made pursuant to the Carnival plc Executive Share Option Plan |
(5) |
Approximate US dollar equivalent price based on the exchange rate on the grant date of February 28, 2005. |
(6) |
Approximate US dollar equivalent price based on the exchange rate on the grant date of February 21, 2006. |