Statement of Changes in Beneficial Ownership (4)
June 21 2021 - 5:41PM
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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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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COLE ANDREW |
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)
6/16/2021 |
(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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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 |
Restricted Share Units A | (1) | 6/16/2021 | | A | | 1124 | | (2) | (2) | Class A Ordinary Shares | 1124.0 | $0 | 1124 | D | |
Restricted Share Units C | (1) | 6/16/2021 | | A | | 2247 | | (2) | (2) | Class C Ordinary Shares | 2247.0 | $0 | 2247 | D | |
Share Option A (right to buy) | $27.82 | 6/16/2021 | | A | | 3449 | | (3) | 6/16/2031 | Class A Ordinary Shares | 3449.0 | $0 | 3449 | D | |
Share Option C (right to buy) | $27.82 | 6/16/2021 | | A | | 6898 | | (3) | 6/16/2031 | Class C Ordinary Shares | 6898.0 | $0 | 6898 | D | |
Explanation of Responses: |
(1) | Each Restricted Share Unit represents a right to receive one share of Issuer's Class A ordinary shares or Class C ordinary shares, as the case may be. |
(2) | The Restricted Share Units will vest in full on the date of the Issuer's 2022 annual general meeting of shareholders. |
(3) | The option vests in three equal annual installments commencing on the date of the Issuer's 2022 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, and LBTYK. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
COLE ANDREW 161 HAMMERSMITH ROAD LONDON, X0 | X |
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Signatures
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/s/ Kelly A. Johnson, Attorney-in-Fact | | 6/18/2021 |
**Signature of Reporting Person | Date |
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