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Liberty Global Ltd. — Director's Dealing 2015
May 21, 2015
31176_dirs_2015-05-21_460300b4-3bc4-486c-8feb-b6088afc141f.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: 2015-05-19
Reporting Person: MALONE JOHN C (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-05-19 | Class A Ordinary Shares | M | 27323 | $17.98 | Acquired | 979500 | Direct |
| 2015-05-19 | Class A Ordinary Shares | M | 22141 | $23.37 | Acquired | 1001641 | Direct |
| 2015-05-19 | Class A Ordinary Shares | M | 24104 | $25.12 | Acquired | 1025745 | Direct |
| 2015-05-19 | Class A Ordinary Shares | M | 12129 | $37.23 | Acquired | 1037874 | Direct |
| 2015-05-19 | Class A Ordinary Shares | M | 9900 | $40.91 | Acquired | 1047774 | Direct |
| 2015-05-19 | Class C Ordinary Shares | M | 27323 | $17.80 | Acquired | 4691518 | Direct |
| 2015-05-19 | Class C Ordinary Shares | M | 57638 | $16.97 | Acquired | 4749156 | Direct |
| 2015-05-19 | Class C Ordinary Shares | M | 22141 | $23.13 | Acquired | 4771297 | Direct |
| 2015-05-19 | Class C Ordinary Shares | M | 46388 | $22.20 | Acquired | 4817685 | Direct |
| 2015-05-19 | Class C Ordinary Shares | M | 24104 | $24.87 | Acquired | 4841789 | Direct |
| 2015-05-19 | Class C Ordinary Shares | M | 49998 | $24.10 | Acquired | 4891787 | Direct |
| 2015-05-19 | Class C Ordinary Shares | M | 12129 | $36.85 | Acquired | 4903916 | Direct |
| 2015-05-19 | Class C Ordinary Shares | M | 26112 | $34.41 | Acquired | 4930028 | Direct |
| 2015-05-19 | Class C Ordinary Shares | M | 19800 | $39.09 | Acquired | 4949828 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-05-19 | Stock Option A (right to buy) | $17.98 | M | 27323 | Disposed | 2020-12-16 | Class A Ordinary Shares (27323) | Direct |
| 2015-05-19 | Stock Option A (right to buy) | $23.37 | M | 22141 | Disposed | 2021-05-01 | Class A Ordinary Shares (22141) | Direct |
| 2015-05-19 | Stock Option A (right to buy) | $25.12 | M | 24104 | Disposed | 2022-05-01 | Class A Ordinary Shares (24104) | Direct |
| 2015-05-19 | Stock Option A (right to buy) | $37.23 | M | 12129 | Disposed | 2023-05-01 | Class A Ordinary Shares (12129) | Direct |
| 2015-05-19 | Stock Option A (right to buy) | $40.91 | M | 9900 | Disposed | 2021-05-01 | Class A Ordinary Shares (9900) | Direct |
| 2015-05-19 | Stock Option C (right to buy) | $17.80 | M | 27323 | Disposed | 2020-12-16 | Class C Ordinary Shares (27323) | Direct |
| 2015-05-19 | Stock Option C (right to buy) | $16.97 | M | 57638 | Disposed | 2020-12-16 | Class C Ordinary Shares (57638) | Direct |
| 2015-05-19 | Stock Option C (right to buy) | $23.13 | M | 22141 | Disposed | 2021-05-01 | Class C Ordinary Shares (22141) | Direct |
| 2015-05-19 | Stock Option C (right to buy) | $22.20 | M | 46388 | Disposed | 2021-05-01 | Class C Ordinary Shares (46388) | Direct |
| 2015-05-19 | Stock Option C (right to buy) | $24.87 | M | 24104 | Disposed | 2022-05-01 | Class C Ordinary Shares (24104) | Direct |
| 2015-05-19 | Stock Option C (right to buy) | $24.10 | M | 49998 | Disposed | 2022-05-01 | Class C Ordinary Shares (49998) | Direct |
| 2015-05-19 | Stock Option C (right to buy) | $36.85 | M | 12129 | Disposed | 2023-05-01 | Class C Ordinary Shares (12129) | Direct |
| 2015-05-19 | Stock Option C (right to buy) | $34.41 | M | 26112 | Disposed | 2023-05-01 | Class C Ordinary Shares (26112) | Direct |
| 2015-05-19 | Stock Option C (right to buy) | $39.09 | M | 19800 | Disposed | 2021-05-01 | Class C Ordinary Shares (19800) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Class A Ordinary Shares | 90303 | Indirect |
| Class C Ordinary Shares | 7597225 | Indirect |
| Class C Ordinary Shares | 680041 | Indirect |
Footnotes
F1: On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class A option previously reported as an option for 27,323 shares at an exercise price of $35.78 per share was adjusted to reflect the dividend.
F2: On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class A option previously reported as an option for 22,141 shares at an exercise price of $46.50 per share was adjusted to reflect the dividend.
F3: On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class A option previously reported as an option for 24,104 shares at an exercise price of $49.99 per share was adjusted to reflect the dividend.
F4: On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class A option previously reported as an option for 18,194 shares at an exercise price of $74.08 per share was adjusted to reflect the dividend.
F5: On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class A option was adjusted for the dividend by allocating the exercise price of the original Class A option between an option based on Class A ordinary shares and an option based on Class C ordinary shares.
F6: On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class C option previously reported as an option for 28,819 shares at an exercise price of $33.93 per share was adjusted to reflect the dividend.
F7: On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class C option previously reported as an option for 23,194 shares at an exercise price of $44.39 per share was adjusted to reflect the dividend.
F8: On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class C option previously reported as an option for 24,999 shares at an exercise price of $48.20 per share was adjusted to reflect the dividend.
F9: On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class C option previously reported as an option for 19,584 shares at an exercise price of $68.82 per share was adjusted to reflect the dividend.
F10: The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
F11: Held by a charitable remainder unitrust of which the Reporting Person is sole trustee and, with his spouse, retains a unitrust interest in the trust.
F12: The option is immediately exercisable.
F13: The option vests in three equal annual installments commencing on May 1, 2014.
F14: The option vests in three equal annual installments commencing on May 1, 2015.