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) 06/23/2015 | ||||||||||||||||||||||||||
| 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 | ||||||
| Liberty Global Class C | 06/23/2015 | S(1) | 5,900 | D | $53.46 | 51,998(2) | D | |||
| Liberty Global Class C | 01/05/2016 | S(1) | 1,850 | D | $40.25 | 51,272 | D | |||
| Liberty Global Class C | 02/22/2016 | S(1) | 2,800 | D | $36.95 | 48,472 | D | |||
| Liberty Global Class C | 03/08/2016 | S(1) | 1,400 | D | $36.06 | 45,672 | D | |||
| Liberty Global Class C | 04/18/2016 | S(1) | 2,700 | D | $37.91 | 43,395 | D | |||
| Liberty Global Class C | 06/01/2016 | S(1) | 700 | D | $36.05 | 42,695 | D | |||
| LiLAC Class C | 06/01/2016 | S(1) | 367 | D | $42.85 | 2,269(3) | D | |||
| 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 | ||||||||
| Liberty Global Share Option A (right to buy) | $28.83 | 06/21/2017 | A | 7,150 | (4) | 06/21/2024 | Liberty Global Class A | 7,150 | $0 | 7,150 | D | ||||
| Liberty Global Share Option C (right to buy) | $27.85 | 06/21/2017 | A | 14,300 | (4) | 06/21/2024 | Liberty Global Class C | 14,300 | $0 | 14,300 | D | ||||
| LiLAC Share Option A (right to buy) | $20.71 | 06/21/2017 | A | 894 | (4) | 06/21/2024 | LiLAC Class A | 894 | $0 | 894 | D | ||||
| LiLAC Share Option C (right to buy) | $20.25 | 06/21/2017 | A | 1,788 | (4) | 06/21/2024 | LiLAC Class C | 1,788 | $0 | 1,788 | D | ||||
| Explanation of Responses: |
| 1. The reporting person inadvertently failed to report these sale transactions in shares of the Issuer at the time of the respective transactions. |
| 2. On March 3, 2014, the Issuer distributed shares of its Class C ordinary shares as a dividend at a rate of one Class C ordinary share for every share of Issuer's ordinary shares outstanding as of February 14, 2014. As a result, the number of Class C ordinary shares has been adjusted for the dividend. |
| 3. 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 of the LiLAC Distribution, 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. |
| 4. The option vests in three equal annual installments commencing on the date of the Issuer's 2018 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
| 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 | 06/23/2017 | |
| ** 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. | ||