Close

Form 4 Liberty Global plc For: Jul 01 Filed by: BRACKEN CHARLES H R

November 8, 2016 5:44 PM EST
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person *
BRACKEN CHARLES H R

(Last) (First) (Middle)
161 HAMMERSMITH ROAD

(Street)
LONDON X0

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Liberty Global plc [ LBTY ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP & Co-CFO
3. Date of Earliest Transaction (Month/Day/Year)
07/01/2016
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
LiLAC Share Appreciation Rights A $ 23.91 07/01/2016   A (1) V 4,978     (2) 05/01/2019 LiLAC Class A 4,978.00 $ 0 4,978 D  
LiLAC Share Appreciation Rights A $ 35.44 07/01/2016   A (1) V 4,692     (3) 05/01/2020 LiLAC Class A 4,692.00 $ 0 4,692 D  
LiLAC Share Appreciation Rights A $ 33.35 07/01/2016   A (1) V 21,296     (2) 06/24/2020 LiLAC Class A 21,296.00 $ 0 21,296 D  
LiLAC Share Appreciation Rights A $ 38.94 07/01/2016   A (1) V 8,389     (4) 05/01/2021 LiLAC Class A 8,389.00 $ 0 8,389 D  
LiLAC Share Appreciation Rights A $ 50.55 07/01/2016   A (1) V 6,534     (5) 05/01/2022 LiLAC Class A 6,534.00 $ 0 6,534 D  
LiLAC Share Appreciation Rights A $ 39.48 07/01/2016   A (1) V 7,552     (6) 05/01/2023 LiLAC Class A 7,552.00 $ 0 7,552 D  
Liberty Global Share Appreciation Rights A $ 19.87 (7)               (2) 05/01/2019 Liberty Global Class A 39,899.00   39,899 D  
Liberty Global Share Appreciation Rights A $ 29.45 (7)               (3) 05/01/2020 Liberty Global Class A 37,610.00   37,610 D  
Liberty Global Share Appreciation Rights A $ 27.71 (7)               (2) 06/24/2020 Liberty Global Class A 170,684.00   170,684 D  
Liberty Global Share Appreciation Rights A $ 32.37 (7)               (4) 05/01/2021 Liberty Global Class A 67,243.00   67,243 D  
Liberty Global Share Appreciation Rights A $ 42.01 (7)               (5) 05/01/2022 Liberty Global Class A 52,376.00   52,376 D  
Liberty Global Share Appreciation Rights A $ 32.81 (7)               (6) 05/01/2023 Liberty Global Class A 60,536.00   60,536 D  
Explanation of Responses:
1. 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, pursuant to the anti-dilution provisions of the applicable incentive plan, the Reporting Person received an equity award based on his outstanding Liberty Global Group awards relating to shares of the corresponding Class of LiLAC Group ordinary shares (a "LiLAC Award"). The terms of the LiLAC Awards are, in all material respects, the same as those of the corresponding original Liberty Global Group award.
2. The SARs are immediately exercisable.
3. 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.
4. 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.
5. 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.
6. 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.
7. As a result of the LiLAC Distribution, pursuant to the anti-dilution provisions of the applicable incentive plan, an adjustment to the exercise price or base price, as applicable, was made to all Liberty Global Group equity awards previously reported. All other terms of the Liberty Global Group awards are, in all material respects, the same as those of the corresponding original award.
Remarks:
The trading symbols for the Issuer's classes of ordinary shares are LBTYA, LBTYB, LBTYK, LILA, LILAB, and LILAK.
/s/ Michelle L. Keist, attorney-in-fact 11/07/2016
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.


Serious News for Serious Traders! Try StreetInsider.com Premium Free!

You May Also Be Interested In





Related Categories

SEC Filings