Statement of Changes in Beneficial Ownership (4)
April 02 2021 - 3:16PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
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GOULD PAUL A |
2. Issuer Name and Ticker or Trading Symbol
Liberty Global plc
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LBTY
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
161 HAMMERSMITH ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2021 |
(Street)
LONDON, X0
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Ordinary Shares | 3/31/2021 | | A | | 70 (1) | A | $25.66 | 225199 | D | |
Class C Ordinary Shares | 3/31/2021 | | A | | 140 (1) | A | $25.54 | 992181 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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 |
Class A Share Fund Units | (2) | 3/31/2021 | | A | | 456 | | (2) | (2) | Class A Ordinary Shares | 456.0 | (3) | 14043 | D | |
Class C Share Fund Units | (2) | 3/31/2021 | | A | | 912 | | (2) | (2) | Class C Ordinary Shares | 912.0 | (3) | 31162 | D | |
Explanation of Responses: |
(1) | Acquired in accordance with the terms of the Liberty Global 2014 Nonemployee Director Incentive Plan for the equity portion of the fees paid to the Reporting Person for his services as a director. The number of shares was determined using the closing market price of the applicable class of ordinary shares on March 31, 2021. |
(2) | The share fund units represent the economic equivalent of one share of the corresponding class of the Issuer's ordinary shares. The share fund units confer no voting or other rights of stock ownership. The share fund units will be payable, in shares of the corresponding class of the Issuer's ordinary shares, in accordance with the Director Deferred Compensation Plan. |
(3) | The share fund units represent the deferral of shares for a portion of the fees paid to the Reporting Person for his services as a director. The number of share fund units acquired is based on the closing prices of the Class A and Class C ordinary shares on March 31, 2021, with the value of any fractional shares deferred in cash. |
Remarks: The trading symbols for the Issuer's classes of ordinary shares are LBTYA, LBTYB, and LBTYK. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GOULD PAUL A 161 HAMMERSMITH ROAD LONDON, X0 | X |
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Signatures
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/s/ Isabel Coberly, Attorney-in-Fact | | 4/2/2021 |
**Signature of Reporting Person | Date |
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