Liberty Global (LBTYA)

Filed: 17 Mar 20, 5:30pm
SEC Form 4
Washington, D.C. 20549


Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
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*



2. Issuer Name and Ticker or Trading Symbol
Liberty Global plc [ LBTY ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
EVP, Gen Counsel & Secretary
3. Date of Earliest Transaction (Month/Day/Year)
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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)
CodeVAmount(A) or (D)Price
Class A Ordinary Shares03/13/2020A29,254(1)A$0(1)113,013D
Class A Ordinary Shares03/13/2020F12,866D$17.26100,147D
Class C Ordinary Shares03/13/2020A58,508(1)A$0(1)232,011D
Class C Ordinary Shares03/13/2020F25,732D$16.37206,279D
Class C Ordinary Shares4,523Iby 401(k) Plan
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)2. Conversion or Exercise Price of Derivative Security3. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Share Units A(2)03/13/2020A3,656(3)(3)Class A Ordinary Shares3,656(2)3,656D
Restricted Share Units C(2)03/13/2020A7,312(3)(3)Class C Ordinary Shares7,312(2)7,312D
Explanation of Responses:
1. The Issuer's annual performance award program includes a shareholder incentive program that allows participants, including the Reporting Person, to receive up to 100% of their annual performance awards inordinary shares of the Issuer in lieu of cash; thereby, aligning our employees' interests and our shareholders. These shares represent the Reporting Person's election to receive such ordinary shares in respect of his 2019 annual performance award (the Bonus Shares).
2. Each Restricted Share Unit (RSU) represents a right to receive one share of Issuer's Class A ordinary shares or Class C ordinary shares, as the case may be.
3. Based on the Reporting Person's share election described in footnote 1, the Reporting Person also received RSUs equal to 12.5% of the Bonus Shares pursuant to the shareholder incentive program of the 2019 annual performance award program. These RSUs will vest in full on March 1, 2021, provided that the Reporting Person does not sell, transfer or otherwise dispose of the Bonus Shares through such date.
The trading symbols for the Issuer's classes of ordinary shares are LBTYA, LBTYB, and LBTYK.
/s/ Bryan H. Hall03/17/2020
** Signature of Reporting PersonDate
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.
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