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Liberty Global Ltd. — Director's Dealing 2014
Apr 2, 2014
31176_dirs_2014-04-02_f96fcd62-1fd1-4e38-a3bc-0b2a9e93cdab.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Liberty Global plc (LBTY)
CIK: 0001570585
Period of Report: 2014-03-31
Reporting Person: Nair Balan (EVP & CTO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-31 | Class A Ordinary Shares | M | 7892 | — | Acquired | 84684 | Direct |
| 2014-03-31 | Class A Ordinary Shares | F | 2947 | $41.60 | Disposed | 81737 | Direct |
| 2014-03-31 | Class C Ordinary Shares | M | 23676 | — | Acquired | 282152 | Direct |
| 2014-03-31 | Class C Ordinary Shares | F | 11031 | $40.71 | Disposed | 271121 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-31 | Restricted Share Units A | $ | M | 7892 | Disposed | Class A Ordinary Shares (7892) | Direct | |
| 2014-03-31 | Restricted Share Units C | $ | M | 23676 | Disposed | Class C Ordinary Shares (23676) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class C Ordinary Shares | 5705 | Indirect |
Footnotes
F1: Each Restricted Share Unit represents a right to receive one share of Issuer's Class A ordinary shares or Class C ordinary shares, as the case may be.
F2: On March 3, 2014, the Issuer distributed shares of its Series C ordinary shares as a dividend at a rate of one Series C ordinary share for every share of Issuer's ordinary shares outstanding as of February 14, 2014. As a result, the number of the Reporting Person's Series C ordinary shares has been adjusted for the dividend.
F3: The Reporting Person received 47 shares contributed by Issuer under its 401(k) Plan as of December 30, 2013.
F4: The Restricted Share Units vest in two equal semi-annual installments on March 31, 2014 and September 30, 2014.
F5: Number of shares reduced by one due to a rounding error.