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Liberty Global Ltd. — Director's Dealing 2016
Oct 4, 2016
31176_dirs_2016-10-04_4e320768-97e0-4260-b080-ce3328bfd77e.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: 2016-10-01
Reporting Person: DVORAK BERNARD G (EVP & Co-CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-10-01 | Liberty Global Class A | M | 13516 | — | Acquired | 36410 | Direct |
| 2016-10-01 | Liberty Global Class A | F | 6416 | $34.18 | Disposed | 29994 | Direct |
| 2016-10-01 | Liberty Global Class C | M | 27031 | — | Acquired | 273465 | Direct |
| 2016-10-01 | Liberty Global Class C | F | 12830 | $33.04 | Disposed | 260635 | Direct |
| 2016-10-01 | LiLAC Class A | M | 2362 | — | Acquired | 6466 | Direct |
| 2016-10-01 | LiLAC Class A | F | 1102 | $27.59 | Disposed | 5364 | Direct |
| 2016-10-01 | LiLAC Class C | M | 4724 | — | Acquired | 48244 | Direct |
| 2016-10-01 | LiLAC Class C | F | 2202 | $28.05 | Disposed | 46042 | Direct |
| 2016-10-01 | Liberty Global Class A | M | 4055 | — | Acquired | 14495 | Indirect |
| 2016-10-01 | Liberty Global Class A | F | 1775 | $34.18 | Disposed | 12720 | Indirect |
| 2016-10-01 | Liberty Global Class C | M | 8110 | — | Acquired | 117577 | Indirect |
| 2016-10-01 | Liberty Global Class C | F | 3779 | $33.04 | Disposed | 113798 | Indirect |
| 2016-10-01 | LiLAC Class A | M | 708 | — | Acquired | 2497 | Indirect |
| 2016-10-01 | LiLAC Class A | F | 332 | $27.59 | Disposed | 2165 | Indirect |
| 2016-10-01 | LiLAC Class C | M | 1416 | — | Acquired | 19574 | Indirect |
| 2016-10-01 | LiLAC Class C | F | 662 | $28.05 | Disposed | 18912 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-10-01 | Liberty Global Restricted Share Units A | $ | M | 13516 | Disposed | Liberty Global Class A (13516.0) | Direct | |
| 2016-10-01 | Liberty Global Restricted Share Units C | $ | M | 27031 | Disposed | Liberty Global Class C (27031.0) | Direct | |
| 2016-10-01 | LiLAC Restricted Share Units A | $ | M | 676 | Disposed | LiLAC Class A (676.0) | Direct | |
| 2016-10-01 | LiLAC Restricted Share Units C | $ | M | 1352 | Disposed | LiLAC Class C (1352.0) | Direct | |
| 2016-07-01 | LiLAC Restricted Share Units A | $ | A | 1686 | Acquired | LiLAC Class A (1686.0) | Direct | |
| 2016-10-01 | LiLAC Restricted Share Units A | $ | M | 1686 | Disposed | LiLAC Class A (1686.0) | Direct | |
| 2016-07-01 | LiLAC Restricted Share Units C | $ | A | 3372 | Acquired | LiLAC Class C (3372.0) | Direct | |
| 2016-10-01 | LiLAC Restricted Share Units C | $ | M | 3372 | Disposed | LiLAC Class C (3372.0) | Direct | |
| 2016-10-01 | Liberty Global Restricted Share Units A | $ | M | 4055 | Disposed | Liberty Global Class A (4055.0) | Indirect | |
| 2016-10-01 | Liberty Global Restricted Share Units C | $ | M | 8110 | Disposed | Liberty Global Class C (8110.0) | Indirect | |
| 2016-10-01 | LiLAC Restricted Share Units A | $ | M | 203 | Disposed | LiLAC Class A (203.0) | Indirect | |
| 2016-10-01 | LiLAC Restricted Share Units C | $ | M | 405 | Disposed | LiLAC Class C (405.0) | Indirect | |
| 2016-07-01 | LiLAC Restricted Share Units A | $ | A | 505 | Acquired | LiLAC Class A (505.0) | Indirect | |
| 2016-10-01 | LiLAC Restricted Share Units A | $ | M | 505 | Disposed | LiLAC Class A (505.0) | Indirect | |
| 2016-07-01 | LiLAC Restricted Share Units C | $ | A | 1011 | Acquired | LiLAC Class C (1011.0) | Indirect | |
| 2016-10-01 | LiLAC Restricted Share Units C | $ | M | 1011 | Disposed | LiLAC Class C (1011.0) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Liberty Global Class A | 510 | Indirect |
| Liberty Global Class C | 11579 | Indirect |
| LiLAC Class A | 89 | Indirect |
| LiLAC Class C | 1977 | Indirect |
| Liberty Global Class A | 1551 | Indirect |
| Liberty Global Class C | 14528 | Indirect |
| LiLAC Class A | 271 | Indirect |
| LiLAC Class C | 2505 | Indirect |
Footnotes
F1: Each Restricted Share Unit represents a right to receive one share of Issuer's Liberty Global Class A ordinary shares, Liberty Global Class C ordinary shares, LiLAC Class A ordinary shares or LiLAC Class C ordinary shares, as the case may be.
F2: On July 1, 2016, the Issuer distributed by means of a bonus issue to each holder of Liberty Global Group ordinary shares one share of the corresponding Class of the Issuer's LiLAC Group ordinary shares for every 8.01482 shares of that Class of the Issuer's Liberty Global Group ordinary shares held by such holder as of the distribution record date (the "LiLAC Distribution"). As a result, the Reporting Person received additional LiLAC Class A ordinary shares and LiLAC Class C ordinary shares based on the number of corresponding Class of Liberty Global Group ordinary shares held by the Reporting Person on the LiLAC Distribution record date.
F3: The Reporting Person received 180 shares of Issuer's Liberty Global Class C ordinary shares as of June 30, 2016, and pursuant to the LiLAC Distribution, he received 64 shares of Issuer's LiLAC Group Class A ordinary shares and 1,422 shares of Issuer's LiLAC Group Class C ordinary shares, each contributed by Issuer under its 401(k) Plan.
F4: 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.
F5: As a result of the LiLAC Distribution, the Reporting Person's spouse received additional LiLAC Class A ordinary shares and LiLAC Class C ordinary shares based on the number of corresponding Class of Liberty Global Group ordinary shares held by the Reporting Person on the LiLAC Distribution record date.
F6: The Reporting Person's spouse received 112 shares of Issuer's Liberty Global Class C ordinary shares as of June 30, 2016, and pursuant to the LiLAC Distribution, she received 194 shares of Issuer's LiLAC Group Class A ordinary shares and 1,798 shares of Issuer's LiLAC Group Class C ordinary shares, each contributed by Issuer under its 401(k) Plan.
F7: The Restricted Share Units vest on October 1, 2016.
F8: As a result of the LiLAC Distribution, pursuant to the anti-dilution provisions of the applicable incentive plan, the Reporting Person received equity awards relating to LiLAC Group Class A ordinary shares and LiLAC Group Class C ordinary shares (each a "LiLAC Award") based on the corresponding class of Liberty Global Group equity awards. The terms of the LiLAC Award are, in all material respects, the same as those of the corresponding original Liberty Global Group award.
F9: As a result of the LiLAC Distribution, pursuant to the anti-dilution provisions of the applicable incentive plan, the Reporting Person's spouse received equity awards relating to LiLAC Group Class A ordinary shares and LiLAC Group Class C ordinary shares (each a "LiLAC Award") based on the corresponding class of Liberty Global Group equity awards. The terms of the LiLAC Award are, in all material respects, the same as those of the corresponding original Liberty Global Group award.