Sec Form 13G Filing - ARISTEIA CAPITAL L.L.C. filing for CARNIVAL PLC (CUK) - 2022-02-14

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. *)

 

 

Carnival PLC

(Name of Issuer)

Ordinary Shares each represented by American Depositary Shares ($1.66 par value),

Special Voting Share, GBP 1.00 par value and Trust Shares of beneficial interest in the

P&O Princess Special Voting Trust

(Title of Class of Securities)

14365C103

(CUSIP Number)

December 31, 2021

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

 

Rule 13d-1(b)

 

 

Rule 13d-1(c)

 

 

Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 


CUSIP No. 14365C103    SCHEDULE 13G    Page 2 of 5 Pages

 

  1    

  NAME OF REPORTING PERSON

 

  Aristeia Capital, L.L.C. (1)

  2  

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

  (a)  ☐        (b)  ☐

 

  3  

  SEC USE ONLY

 

  4  

  CITIZENSHIP OR PLACE OF ORGANIZATION

 

  Delaware

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

   5    

  SOLE VOTING POWER

 

  10,140,504

   6  

  SHARED VOTING POWER

 

  0

   7  

  SOLE DISPOSITIVE POWER

 

  10,140,504

   8  

  SHARED DISPOSITIVE POWER

 

  9    

  0;AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

  10,140,504

10  

  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

  ☐

11  

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

  6.74% (2)

12  

  TYPE OF REPORTING PERSON*

 

  IA, OO

 

(1)

Aristeia Capital, L.L.C. is the investment manager of, and has voting and investment control with respect to the securities described herein held by, one or more private investment funds.

(2)

Based on 150,405,776 Ordinary Shares, each represented by American Depositary Shares ($1.66 par value), Special Voting Share, GBP 1.00 par value and Trust Shares of beneficial interest in the P&O Princess Special Voting Trust of the Issuer outstanding as of December 31, 2021, as reported in the Issuer’s press release issued in accordance with the FCA’s Disclosure and Transparency Rules on January 6, 2022.


CUSIP No. 14365C103    SCHEDULE 13G    Page 3 of 5 Pages

 

Item 1(a).    Name of Issuer:
   Carnival PLC
Item 1(b).    Address of Issuer’s Principal Executive Offices:
  

3655 N.W. 87th Avenue

Miami, FL 33178

Item 2(a).    Name of Person Filing.
Item 2(b).    Address of Principal Business Office or, if None, Residence.
Item 2(c).    Citizenship.
  

Aristeia Capital, L.L.C.

One Greenwich Plaza, 3rd Floor

Greenwich, CT 06830

Delaware limited liability company

Item 2(d).    Title of Class of Securities:
   Ordinary Shares each represented by American Depositary Shares ($1.66 par value), Special Voting Share, GBP 1.00 par value and Trust Shares of beneficial interest in the P&O Princess Special Voting Trust
Item 2(e).    CUSIP Number:
   14365C103
Item 3.    If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
   ☒  An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E).
Item 4.    Ownership.
  

The following is information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1 as of 12/31/2021.

 

Items 5-9 and 11 of the cover page to this Schedule 13G are incorporated herein by reference. :

   (a)    Amount beneficially owned: 10,140,504
   (b)    Percent of Class: 6.74%
   (c)    Number of shares as to which such person has:
      (i)    sole power to vote or direct the vote: 10,140,504
      (ii)    shared power to vote or direct the vote: 0


CUSIP No. 14365C103    SCHEDULE 13G    Page 4 of 5 Pages

 

      (iii)    sole power to dispose or direct the disposition of: 10,140,504
      (iv)    shared power to dispose or direct the disposition of: 0
Item 5.    Ownership of Five Percent or Less of a Class.
   If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  ☐
Item 6.    Ownership of More than Five Percent on Behalf of Another Person.
   Not Applicable
Item 7.    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
   Not Applicable
Item 8.    Identification and Classification of Members of the Group.
   Not Applicable
Item 9.    Notice of Dissolution of Group.
   Not Applicable
Item 10.    Certification.
   Certification pursuant to §240.13d-1(b):
   By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.


CUSIP No. 14365C103    SCHEDULE 13G    Page 5 of 5 Pages

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: 2/14/2022

 

ARISTEIA CAPITAL, L.L.C.
By:  

/s/ Andrew B. David

  Name: Andrew B. David
  Title:   Chief Operating Officer