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)
|
01/11/2000(2)
|
01/11/2009 |
Trust Shares (beneficial interest in special voting share)
(1)
|
8,000
|
$
45.375
|
D
|
Â
|
Stock Option (Right to Buy)
|
01/26/2001(2)
|
01/26/2010 |
Trust Shares (beneficial interest in special voting share)
(1)
|
10,000
|
$
43.5625
|
D
|
Â
|
Stock Option (Right to Buy)
|
12/02/2007 |
12/02/2012 |
Trust Shares (beneficial interest in special voting share)
(1)
|
2,000
|
$
27.875
|
D
|
Â
|
Stock Option (Right to Buy)
|
10/13/2007(3)
|
10/13/2013 |
Trust Shares (beneficial interest in special voting share)
(1)
|
4,800
|
$
34.45
|
D
|
Â
|
Stock Option (Right to Buy)
|
10/18/2005(2)
|
10/18/2014 |
Trust Shares (beneficial interest in special voting share)
(1)
|
12,000
|
$
49.085
|
D
|
Â
|
Stock Option (Right to Buy)
|
10/18/2006(2)
|
10/18/2012 |
Trust Shares (beneficial interest in special voting share)
(1)
|
12,000
|
$
46.61
|
D
|
Â
|
Stock Option (Right to Buy)
|
10/16/2007(2)
|
10/16/2013 |
Trust Shares (beneficial interest in special voting share)
(1)
|
12,000
|
$
47.83
|
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) |
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) |
Options vest ratably over five years beginning on the first anniversary of the grant date. |
(3) |
2,400 options vest on each of October 13, 2007 and 2008. |