Statement of Changes in Beneficial Ownership (4)
16 Juin 2023 - 10:31PM
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).
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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
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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
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GOULD PAUL A |
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 _____ 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)
6/14/2023 |
(Street)
LONDON, X0 |
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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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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 C Ordinary Shares | 6/14/2023 | | M | | 2922 | A | (1) | 999059 | 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 |
Restricted Share Units A | (1) | 6/14/2023 | | A | | 1863 | | (2) | (2) | Class A Ordinary Shares | 1863 | (1) | 1863 | D | |
Restricted Share Units C | (1) | 6/14/2023 | | A | | 3726 | | (2) | (2) | Class C Ordinary Shares | 3726 | (1) | 3726 | D | |
Share Option A (right to buy) | $17.22 | 6/14/2023 | | A | | 4973 | | (3) | 6/14/2033 | Class A Ordinary Shares | 4973 | $0 | 4973 | D | |
Share Option C (right to buy) | $18.23 | 6/14/2023 | | A | | 9945 | | (3) | 6/14/2033 | Class C Ordinary Shares | 9945 | $0 | 9945 | D | |
Restricted Share Units A | (1) | 6/14/2023 | | M | | | 1461 | (4) | (4) | Class A Ordinary Shares | 1461 | (1) | 0 | D | |
Restricted Share Units C | (1) | 6/14/2023 | | M | | | 2922 | (4) | (4) | Class C Ordinary Shares | 2922 | (1) | 0 | D | |
Class A Share Fund Units | (5) | 6/14/2023 | | M | | 1461 (6) | | (5) | (5) | Class A Ordinary Shares | 1461 (6) | (5) | 16747 | 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 2024 annual general meeting. |
(3) | The option vests in three equal annual installments commencing on the date of the Issuer's 2024 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
(4) | The Restricted Share Units vested in full on the date of the Issuer's 2023 annual general meeting. |
(5) | 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. |
(6) | The share fund units represent the deferral of shares the Reporting Person received upon the vesting of the 1,461 Restricted Share Units A. |
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/ Cory Smith, Attorney-in-Fact | | 6/16/2023 |
**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 control number. |
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