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Liberty Global Ltd. — Director's Dealing 2018
Feb 14, 2018
31176_dirs_2018-02-14_252db535-2f7d-43bc-9463-a1371cb8cf9b.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: Liberty Global plc (LBTY)
CIK: 0001570585
Period of Report: 2017-12-31
Reporting Person: Nair Balan (EVP & CTO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-12-29 | LiLAC Class C | J | 61903 | — | Disposed | 0 | Direct |
| 2017-12-29 | LiLAC Class C | J | 1139 | — | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-12-29 | LiLAC Share Appreciation Rights C | $21.84 | J | 14240 | Disposed | 2024-05-01 | LiLAC Class C (14240.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $39.71 | J | 15106 | Disposed | 2023-05-01 | LiLAC Class C (15106.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $40.61 | J | 6052 | Disposed | 2023-05-01 | LiLAC Class C (6052.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $46.52 | J | 5359 | Disposed | 2022-05-01 | LiLAC Class C (5359.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $50.84 | J | 13176 | Disposed | 2022-05-01 | LiLAC Class C (13176.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $35.37 | J | 6690 | Disposed | 2021-05-01 | LiLAC Class C (6690.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $38.65 | J | 16694 | Disposed | 2021-05-01 | LiLAC Class C (16694.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $29.66 | J | 16985 | Disposed | 2020-06-24 | LiLAC Class C (16985.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $34.29 | J | 21205 | Disposed | 2020-06-24 | LiLAC Class C (21205.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $32.42 | J | 42390 | Disposed | 2020-06-24 | LiLAC Class C (42390.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $31.37 | J | 8492 | Disposed | 2020-06-24 | LiLAC Class C (8492.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $36.44 | J | 4670 | Disposed | 2020-05-01 | LiLAC Class C (4670.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $34.03 | J | 9343 | Disposed | 2020-05-01 | LiLAC Class C (9343.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $31.14 | J | 3744 | Disposed | 2020-05-01 | LiLAC Class C (3744.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $33.35 | J | 1872 | Disposed | 2020-05-01 | LiLAC Class C (1872.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $21.81 | J | 3972 | Disposed | 2019-05-01 | LiLAC Class C (3972.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $22.51 | J | 1986 | Disposed | 2019-05-01 | LiLAC Class C (1986.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $23.84 | J | 9913 | Disposed | 2019-05-01 | LiLAC Class C (9913.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $24.6 | J | 4956 | Disposed | 2019-05-01 | LiLAC Class C (4956.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $20.93 | J | 2097 | Disposed | 2018-05-01 | LiLAC Class C (2097.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $21.96 | J | 10468 | Disposed | 2018-05-01 | LiLAC Class C (10468.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $22.88 | J | 5234 | Disposed | 2018-05-01 | LiLAC Class C (5234.0) | Direct |
| 2017-12-29 | LiLAC Share Appreciation Rights C | $20.09 | J | 4194 | Disposed | 2018-05-01 | LiLAC Class C (4194.0) | Direct |
Footnotes
F1: Pursuant to the Split-Off (as described in the Remarks section), all of the outstanding ordinary shares of Liberty Global plc's (the "Issuer") Class A LiLAC ordinary shares, Class B LiLAC ordinary shares and Class C LiLAC ordinary shares were redesignated as deferred shares (with virtually no economic rights) and those deferred shares were transferred for no consideration to a third-party designee. The Split-Off was exempt pursuant to Rule 16b-7 under the Securities Exchange Act of 1934, as amended (the "Act").
F2: In connection with the Split-Off, the SARs were converted on a one-for-one basis, pursuant to the anti-dilution provisions of the plan under which the SARs were granted, to SARs of Splitco with the same terms, conditions and share class as the Issuer's SARs. These transactions were approved by the Issuer's board of directors pursuant to Rule 16b-3 under the Act.
F3: The SARs provide for vesting of 12.5% of the shares on November 1, 2017, and the remaining shares in 14 equal quarterly installments commencing February 1, 2018.
F4: The SARs provide for vesting of 12.5% of the shares on November 1, 2016, and the remaining shares in 14 equal quarterly installments commencing February 1, 2017.
F5: 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.
F6: 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.
F7: The SARs are immediately exercisable.