Statement of Changes in Beneficial Ownership (4)
28 May 2015 - 7:54AM
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
*
WARGO J DAVID
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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
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
38 HANS CRESCENT
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/22/2015
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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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Class A Ordinary Shares
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5/22/2015
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M
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10000
(1)
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A
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$11.66
(1)
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15412
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D
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Class C Ordinary Shares
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5/22/2015
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M
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20000
(2)
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A
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$10.99
(2)
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36600
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D
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Class C Ordinary Shares
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5/22/2015
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M
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10000
(3)
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A
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$11.55
(3)
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46600
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D
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Class C Ordinary Shares
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32
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I
(4)
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By Spouse
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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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Stock Option A (right to buy)
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$11.66
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5/22/2015
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M
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10000
(1)
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(5)
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6/15/2015
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Class A Ordinary Shares
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10000
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(1)
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0
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D
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Stock Option C (right to buy)
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$10.99
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5/22/2015
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M
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20000
(2)
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(5)
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6/15/2015
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Class C Ordinary Shares
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20000
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(2)
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0
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D
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Stock Option C (right to buy)
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$11.55
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5/22/2015
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M
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10000
(3)
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(5)
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6/15/2015
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Class C Ordinary Shares
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10000
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(3)
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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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On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class A option previously reported as an option for 10,000 shares at an exercise price of $23.21 per share was adjusted to reflect the dividend.
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(
2)
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On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class C option previously reported as an option for 10,000 shares at an exercise price of $21.98 per share was adjusted to reflect the dividend.
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(
3)
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On March 3, 2014, the Issuer distributed Class C ordinary shares as a dividend at the rate of one Class C ordinary share for each ordinary share outstanding as of February 14, 2014. As a result, pursuant to the anti-dilution provisions of the applicable incentive plan of the Issuer, a Class A option was adjusted for the dividend by allocating the exercise price of the original Class A option between an option based on Class A ordinary shares and an option based on Class C ordinary shares.
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(
4)
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The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
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(
5)
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The option is immediately exercisable.
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Remarks:
The trading symbols for the Issuer's Class A, Class B, and Class C ordinary shares are LBTYA, LBTYB, and LBTYK, respectively.
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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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WARGO J DAVID
38 HANS CRESCENT
LONDON, X0
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X
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Signatures
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Michelle L. Keist, attorney-in-fact
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5/27/2015
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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.
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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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