Statement of Changes in Beneficial Ownership (4)
May 03 2017 - 5:33PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
FRIES MICHAEL T
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2. Issuer Name
and
Ticker or Trading Symbol
Liberty Global plc
[
LBTY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President & CEO
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(Last)
(First)
(Middle)
161 HAMMERSMITH ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/1/2017
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(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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Liberty Global Class A
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5/1/2017
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M
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71370
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A
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$10.93
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572983
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D
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Liberty Global Class A
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5/1/2017
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F
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44921
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D
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$35.69
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528062
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D
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Liberty Global Class C
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5/1/2017
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M
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142107
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A
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$10.68
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1175579
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D
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Liberty Global Class C
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5/1/2017
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M
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71036
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A
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$10.78
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1246615
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D
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Liberty Global Class C
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5/1/2017
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F
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134336
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D
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$34.80
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1112279
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D
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LiLAC Class A
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5/1/2017
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M
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3568
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A
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$11.84
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209547
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D
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LiLAC Class A
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5/1/2017
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M
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8904
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A
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$13.16
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218451
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D
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LiLAC Class A
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5/1/2017
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F
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9785
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D
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$21.43
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208666
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D
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LiLAC Class C
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5/1/2017
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M
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7105
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A
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$12.26
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192715
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D
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LiLAC Class C
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5/1/2017
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M
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3551
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A
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$12.37
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196266
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D
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LiLAC Class C
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5/1/2017
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M
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17730
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A
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$13.40
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213996
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D
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LiLAC Class C
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5/1/2017
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M
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8863
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A
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$13.52
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222859
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D
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LiLAC Class C
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5/1/2017
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F
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29300
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D
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$21.84
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193559
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D
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Liberty Global Class A
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1977
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I
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By 401(k) Plan
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Liberty Global Class C
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13063
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I
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By 401(k) Plan
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LiLAC Class A
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345
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I
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By 401(k) Plan
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LiLAC Class C
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2283
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I
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By 401(k) Plan
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Liberty Global Share Appreciation Rights A
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$35.69
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5/1/2017
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A
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227832
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(1)
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5/1/2024
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Liberty Global Class A
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227832.0
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$0
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227832
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D
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Liberty Global Share Appreciation Rights C
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$34.8
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5/1/2017
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A
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455664
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(1)
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5/1/2024
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Liberty Global Class C
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455664.0
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$0
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455664
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D
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LiLAC Share Appreciation Rights A
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$21.43
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5/1/2017
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A
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28480
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(1)
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5/1/2024
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LiLAC Class A
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28480.0
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$0
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28480
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D
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LiLAC Share Appreciation Rights C
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$21.84
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5/1/2017
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A
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56960
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(1)
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5/1/2024
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LiLAC Class C
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56960.0
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$0
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56960
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D
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Liberty Global Share Appreciation Rights A
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$10.93
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5/1/2017
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M
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71370
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(2)
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5/1/2017
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Liberty Global Class A
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71370.0
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$0
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0
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D
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Liberty Global Share Appreciation Rights C
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$10.68
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5/1/2017
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M
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142107
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(2)
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5/1/2017
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Liberty Global Class C
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142107.0
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$0
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0
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D
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Liberty Global Share Appreciation Rights C
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$10.78
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5/1/2017
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M
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71036
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(2)
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5/1/2017
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Liberty Global Class C
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71036.0
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$0
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0
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D
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LiLAC Share Appreciation Rights A
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$11.84
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5/1/2017
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M
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3568
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(2)
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5/1/2017
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LiLAC Class A
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3568.0
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$0
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0
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D
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LiLAC Share Appreciation Rights A
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$13.16
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5/1/2017
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M
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8904
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(2)
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5/1/2017
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LiLAC Class A
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8904.0
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$0
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0
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D
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LiLAC Share Appreciation Rights C
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$12.26
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5/1/2017
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M
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7105
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(2)
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5/1/2017
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LiLAC Class C
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7105.0
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$0
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0
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D
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LiLAC Share Appreciation Rights C
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$12.37
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5/1/2017
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M
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3551
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(2)
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5/1/2017
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LiLAC Class C
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3551.0
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$0
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0
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D
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LiLAC Share Appreciation Rights C
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$13.4
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5/1/2017
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M
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17730
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(2)
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5/1/2017
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LiLAC Class C
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17730.0
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$0
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0
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D
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LiLAC Share Appreciation Rights C
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$13.52
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5/1/2017
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M
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8863
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(2)
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5/1/2017
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LiLAC Class C
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8863.0
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$0
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0
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D
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Explanation of Responses:
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(1)
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The SARs provide for vesting of 12.5% of the shares on November 1, 2017, and the remaining shares in 14 equal quarterly installments commencing February 1, 2018.
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(2)
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The SARs are immediately exercisable.
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Remarks:
The trading symbols for the Issuer's classes of ordinary shares are LBTYA, LBTYB, LBTYK, LILA, LILAB, and LILAK.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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FRIES MICHAEL T
161 HAMMERSMITH ROAD
LONDON, X0
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X
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President & CEO
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Signatures
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/s/ Michael T. Fries
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5/2/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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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 control number.
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