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Liberty Global Ltd. — Director's Dealing 2016
Jun 27, 2016
31176_dirs_2016-06-27_ab7e3da1-7d2d-4ba4-a9b7-cd987f30ca2a.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: 2016-06-24
Reporting Person: DVORAK BERNARD G (EVP & Co-CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-06-24 | Liberty Global Class A | M | 3500 | — | Acquired | 11560 | Indirect |
| 2016-06-24 | Liberty Global Class A | F | 1120 | $28.80 | Disposed | 10440 | Indirect |
| 2016-06-24 | Liberty Global Class C | M | 10500 | — | Acquired | 112827 | Indirect |
| 2016-06-24 | Liberty Global Class C | F | 3360 | $28.66 | Disposed | 109467 | Indirect |
| 2016-06-24 | LiLAC Class A | M | 175 | — | Acquired | 554 | Indirect |
| 2016-06-24 | LiLAC Class A | F | 56 | $33.44 | Disposed | 498 | Indirect |
| 2016-06-24 | LiLAC Class C | M | 525 | — | Acquired | 5581 | Indirect |
| 2016-06-24 | LiLAC Class C | F | 168 | $33.87 | Disposed | 5413 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-06-24 | Liberty Global Share Appreciation Rights A | $31.87 | A | 170684 | Acquired | 2020-06-24 | Liberty Global Class A (170684.0) | Direct |
| 2016-06-24 | Liberty Global Share Appreciation Rights C | $31.61 | A | 169960 | Acquired | 2020-06-24 | Liberty Global Class C (169960.0) | Direct |
| 2016-06-24 | Liberty Global Share Appreciation Rights C | $29.88 | A | 339754 | Acquired | 2020-06-24 | Liberty Global Class C (339754.0) | Direct |
| 2016-06-24 | LiLAC Share Appreciation Rights A | $30.02 | A | 8531 | Acquired | 2020-06-24 | LiLAC Class A (8531.0) | Direct |
| 2016-06-24 | LiLAC Share Appreciation Rights C | $31.37 | A | 8492 | Acquired | 2020-06-24 | LiLAC Class C (8492.0) | Direct |
| 2016-06-24 | LiLAC Share Appreciation Rights C | $29.66 | A | 16985 | Acquired | 2020-06-24 | LiLAC Class C (16985.0) | Direct |
| 2016-06-24 | Liberty Global Share Appreciation Rights A | $31.87 | A | 32823 | Acquired | 2020-06-24 | Liberty Global Class A (32823.0) | Indirect |
| 2016-06-24 | Liberty Global Share Appreciation Rights C | $31.61 | A | 32684 | Acquired | 2020-06-24 | Liberty Global Class C (32684.0) | Indirect |
| 2016-06-24 | Liberty Global Share Appreciation Rights C | $29.88 | A | 65337 | Acquired | 2020-06-24 | Liberty Global Class C (65337.0) | Indirect |
| 2016-06-24 | LiLAC Share Appreciation Rights A | $30.02 | A | 1640 | Acquired | 2020-06-24 | LiLAC Class A (1640.0) | Indirect |
| 2016-06-24 | LiLAC Share Appreciation Rights C | $31.37 | A | 1633 | Acquired | 2020-06-24 | LiLAC Class C (1633.0) | Indirect |
| 2016-06-24 | LiLAC Share Appreciation Rights C | $29.66 | A | 3266 | Acquired | 2020-06-24 | LiLAC Class C (3266.0) | Indirect |
| 2016-06-24 | Liberty Global Restricted Share Units A | $ | A | 3500 | Acquired | Liberty Global Class A (3500.0) | Indirect | |
| 2016-06-24 | Liberty Global Restricted Share Units C | $ | A | 10500 | Acquired | Liberty Global Class C (10500.0) | Indirect | |
| 2016-06-24 | LiLAC Restricted Share Units A | $ | A | 175 | Acquired | LiLAC Class A (175.0) | Indirect | |
| 2016-06-24 | LiLAC Restricted Share Units C | $ | A | 525 | Acquired | LiLAC Class C (525.0) | Indirect | |
| 2016-06-24 | Liberty Global Restricted Share Units A | $ | M | 3500 | Disposed | Liberty Global Class A (3500.0) | Indirect | |
| 2016-06-24 | Liberty Global Restricted Share Units C | $ | M | 10500 | Disposed | Liberty Global Class C (10500.0) | Indirect | |
| 2016-06-24 | LiLAC Restricted Share Units A | $ | M | 175 | Disposed | LiLAC Class A (175.0) | Indirect | |
| 2016-06-24 | LiLAC Restricted Share Units C | $ | M | 525 | Disposed | LiLAC Class C (525.0) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Liberty Global Class A | 22894 | Direct |
| Liberty Global Class C | 246434 | Direct |
| LiLAC Class A | 1141 | Direct |
| LiLAC Class C | 12567 | Direct |
| Liberty Global Class A | 510 | Indirect |
| Liberty Global Class C | 11399 | Indirect |
| LiLAC Class C | 555 | Indirect |
| LiLAC Class A | 25 | Indirect |
| Liberty Global Class A | 1551 | Indirect |
| Liberty Global Class C | 14416 | Indirect |
| LiLAC Class A | 77 | Indirect |
| LiLAC Class C | 707 | Indirect |
Footnotes
F1: Shares acquired by the spouse of the Reporting Person upon the vesting of restricted share units. The spouse of the Reporting Person was granted the restricted share units subject to the satisfaction of certain performance criteria and continued employment on June 24, 2016.
F2: 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.
F3: The Reporting Person received 136 shares contributed by Issuer under its 401(k) Plan as of March 31, 2016.
F4: The Reporting Person's spouse received 88 shares contributed by Issuer under its 401(k) Plan as of March 31, 2016.
F5: On June 24, 2013, the Reporting Person was granted a share appreciation right based on the number of ordinary shares of the applicable class of the Issuer's ordinary shares, subject to satisfaction of certain performance criteria and continued employment on June 24, 2016. The performance criteria has been met, resulting in the vesting of the share appreciation right.
F6: On June 24, 2013, the Reporting Person's spouse was granted a share appreciation right based on the number of ordinary shares of the applicable class of the Issuer's ordinary shares, subject to satisfaction of certain performance criteria and continued employment on June 24, 2016. The performance criteria has been met, resulting in the vesting of the share appreciation right.