SEC Form 4
| 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 |
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| 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*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol Liberty Global plc [ LBTY ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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| 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)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 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) | |||||||||||||||
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| 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 Option C (right to buy) | $18.55 | 07/01/2016 | A(1) | V | 2,608 | (2) | 06/19/2017 | LiLAC Class C | 2,608 | $0 | 2,608 | D | |||
| LiLAC Share Option C (right to buy) | $19.55 | 07/01/2016 | A(1) | V | 1,304 | (2) | 06/19/2017 | LiLAC Class C | 1,304 | $0 | 1,304 | D | |||
| LiLAC Share Option C (right to buy) | $16.24 | 07/01/2016 | A(1) | V | 1,304 | (2) | 06/12/2018 | LiLAC Class C | 1,304 | $0 | 1,304 | D | |||
| LiLAC Share Option C (right to buy) | $15.53 | 07/01/2016 | A(1) | V | 2,608 | (2) | 06/12/2018 | LiLAC Class C | 2,608 | $0 | 2,608 | D | |||
| LiLAC Share Option C (right to buy) | $7.34 | 07/01/2016 | A(1) | V | 2,608 | (2) | 06/17/2019 | LiLAC Class C | 2,608 | $0 | 2,608 | D | |||
| LiLAC Share Option C (right to buy) | $7.35 | 07/01/2016 | A(1) | V | 1,304 | (2) | 06/17/2019 | LiLAC Class C | 1,304 | $0 | 1,304 | D | |||
| LiLAC Share Option C (right to buy) | $13.18 | 07/01/2016 | A(1) | V | 366 | (2) | 06/17/2020 | LiLAC Class C | 366 | $0 | 366 | D | |||
| LiLAC Share Option C (right to buy) | $13.26 | 07/01/2016 | A(1) | V | 732 | (2) | 06/17/2020 | LiLAC Class C | 732 | $0 | 732 | D | |||
| LiLAC Share Option C (right to buy) | $33.58 | 07/01/2016 | A(1) | V | 1,245 | (2) | 06/28/2020 | LiLAC Class C | 1,245 | $0 | 1,245 | D | |||
| LiLAC Share Option C (right to buy) | $36.16 | 07/01/2016 | A(1) | V | 575 | (2) | 06/28/2020 | LiLAC Class C | 575 | $0 | 575 | D | |||
| LiLAC Share Option C (right to buy) | $19.89 | 07/01/2016 | A(1) | V | 270 | (2) | 06/21/2021 | LiLAC Class C | 270 | $0 | 270 | D | |||
| LiLAC Share Option C (right to buy) | $20.59 | 07/01/2016 | A(1) | V | 129 | (2) | 06/21/2021 | LiLAC Class C | 129 | $0 | 129 | D | |||
| LiLAC Share Option C (right to buy) | $41.47 | 07/01/2016 | A(1) | V | 1,419 | (3) | 06/26/2021 | LiLAC Class C | 1,419 | $0 | 1,419 | D | |||
| Liberty Global Share Option C (right to buy) | $14.79(4) | (2) | 06/19/2017 | Liberty Global Class C | 20,905 | 20,905 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $15.59(4) | (2) | 06/19/2017 | Liberty Global Class C | 10,456 | 10,456 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $12.38(4) | (2) | 06/12/2018 | Liberty Global Class C | 20,905 | 20,905 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $12.95(4) | (2) | 06/12/2018 | Liberty Global Class C | 10,453 | 10,453 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $5.85(4) | (2) | 06/17/2019 | Liberty Global Class C | 20,908 | 20,908 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $5.86(4) | (2) | 06/17/2019 | Liberty Global Class C | 10,454 | 10,454 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $10.51(4) | (2) | 06/17/2020 | Liberty Global Class C | 2,940 | 2,940 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $10.57(4) | (2) | 06/17/2020 | Liberty Global Class C | 5,873 | 5,873 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $26.77(4) | (2) | 06/28/2020 | Liberty Global Class C | 9,985 | 9,985 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $28.82(4) | (2) | 06/28/2020 | Liberty Global Class C | 4,614 | 4,614 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $15.85(4) | (2) | 06/21/2021 | Liberty Global Class C | 2,166 | 2,166 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $16.42(4) | (2) | 06/21/2021 | Liberty Global Class C | 1,041 | 1,041 | D | ||||||||
| Liberty Global Share Option C (right to buy) | $33.06(4) | (3) | 06/26/2021 | Liberty Global Class C | 11,379 | 11,379 | 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 option is immediately exercisable. |
| 3. The option vests in three equal annual installments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
| 4. 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. | ||