AI assistant
Liberty Global Ltd. — Director's Dealing 2015
Jul 29, 2015
31176_dirs_2015-07-29_1b7c09c0-6d50-4d60-85b9-3e650c70ab10.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Liberty Global plc (LBTY)
CIK: 0001570585
Period of Report: 2015-07-09
Reporting Person: FRIES MICHAEL T (Director, President & CEO)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-07-09 | LiLAC Restricted Share Units A | $ | A | 33333 | Acquired | LiLAC Class A (33333) | Direct | |
| 2015-07-09 | LiLAC Restricted Share Units A | $ | A | 831 | Acquired | LiLAC Class A (831) | Direct | |
| 2015-07-09 | LiLAC Restricted Share Units B | $ | A | 33333 | Acquired | LiLAC Class B (33333) | Direct | |
| 2015-07-09 | LiLAC Restricted Share Units C | $ | A | 2493 | Acquired | LiLAC Class C (2493) | Direct | |
| 2015-07-09 | LiLAC Share Appreciation Rights A | $11.84 | A | 3568 | Acquired | 2017-05-01 | LiLAC Class A (3568) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights A | $20.03 | A | 2408 | Acquired | 2018-05-01 | LiLAC Class A (2408) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights A | $21.53 | A | 2280 | Acquired | 2019-05-01 | LiLAC Class A (2280) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights A | $31.91 | A | 2149 | Acquired | 2020-05-01 | LiLAC Class A (2149) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights A | $35.06 | A | 10082 | Acquired | 2021-05-01 | LiLAC Class A (10082) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights A | $45.52 | A | 7882 | Acquired | 2022-05-01 | LiLAC Class A (7882) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $12.37 | A | 3551 | Acquired | 2017-05-01 | LiLAC Class C (3551) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $12.26 | A | 7105 | Acquired | 2017-05-01 | LiLAC Class C (7105) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $20.93 | A | 2397 | Acquired | 2018-05-01 | LiLAC Class C (2397) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $20.09 | A | 4795 | Acquired | 2018-05-01 | LiLAC Class C (4795) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $22.51 | A | 2270 | Acquired | 2019-05-01 | LiLAC Class C (2270) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $21.81 | A | 4540 | Acquired | 2019-05-01 | LiLAC Class C (4540) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $33.35 | A | 2140 | Acquired | 2020-05-01 | LiLAC Class C (2140) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $31.14 | A | 4279 | Acquired | 2020-05-01 | LiLAC Class C (4279) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $35.37 | A | 20072 | Acquired | 2021-05-01 | LiLAC Class C (20072) | Direct |
| 2015-07-09 | LiLAC Share Appreciation Rights C | $46.52 | A | 16078 | Acquired | 2022-05-01 | LiLAC Class C (16078) | Direct |
Footnotes
F1: Each Restricted Share Unit represents a right to receive one share of Issuer's LiLAC Class A ordinary shares, LiLAC Class B ordinary shares or LiLAC Class C ordinary shares, as the case may be.
F2: The Restricted Share Units vest in three equal annual installments on March 15, 2015, March 15, 2016 and March 15, 2017.
F3: The Restricted Share Units vest on September 30, 2015.
F4: On March 3, 2014, the Issuer distributed its Class C ordinary shares as a dividend to each holder of its ordinary shares at a rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014 (the Class C Dividend). As a result of the Class C Dividend, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, all outstanding Class A share appreciation rights (SARs) previously reported by the Reporting Person were adjusted by allocating the exercise price of the original Class A SAR between a SAR based on Class A ordinary shares and a SAR based on Class C ordinary shares and all outstanding Class C SARs previously reported by the Reporting Person were adjusted by doubling the number of shares and reducing by half the base price. All other terms of the additional or adjusted Class C SARs are, in all material respects, the same as those of the corresponding original SARs.
F5: On July 1, 2015, the Issuer distributed, by means of a dividend, to each holder of ordinary shares one share of the corresponding Class of Issuer Latin America and Caribbean ordinary share ("LiLAC shares") for every twenty shares of that Class of Issuer ordinary shares held by such holder as of the distribution record date. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan, all equity awards previously reported were adjusted by an adjustment to the exercise price or base price, as applicable, and number of shares relating to the original award and the Reporting Person received an equity award relating to shares of the corresponding class of LiLAC shares (a "LiLAC Award"). All other terms of the awards and the terms of the LiLAC Awards are, in all material respects, the same as those of the corresponding original award.
F6: The SARs are immediately exercisable.
F7: The SARs provide for vesting of 12.5% of the shares on November 1, 2012, and the remaining shares in 14 equal quarterly installments commencing February 1, 2013.
F8: The SARs provide for vesting of 12.5% of the shares on November 1, 2013, and the remaining shares in 14 equal quarterly installments commencing February 1, 2014.
F9: The SARs provide for vesting of 12.5% of the shares on November 1, 2014, and the remaining shares in 14 equal quarterly installments commencing February 1, 2015.
F10: The SARs provide for vesting of 12.5% of the shares on November 1, 2015, and the remaining shares in 14 equal quarterly installments commencing February 1, 2016.