Statement of Changes in Beneficial Ownership (4)
24 April 2020 - 7:32AM
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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OMB APPROVAL
OMB Number:
3235-0287
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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
*
Salvato Andrea |
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)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
SVP, CHIEF DEVELOPMENT OFFICER |
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(Last)
(First)
(Middle)
161 HAMMERSMITH ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/21/2020 |
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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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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 |
| Share Appreciation Rights A | $29.45 | 4/21/2020 | | D (1) | | | 13444 | (1)(2) | 5/1/2020 | Class A Ordinary Shares | 13444.0 | (1) | 0 | D | |
| Share Appreciation Rights A | $29.45 | 4/21/2020 | | A (1) | | 13444 | | (1)(2) | 5/1/2023 | Class A Ordinary Shares | 13444.0 | (1) | 13444 | D | |
| Share Appreciation Rights A | $27.71 | 4/21/2020 | | D (1) | | | 65647 | (1)(2) | 6/24/2020 | Class A Ordinary Shares | 65647.0 | (1) | 0 | D | |
| Share Appreciation Rights A | $27.71 | 4/21/2020 | | A (1) | | 65647 | | (1)(2) | 6/24/2023 | Class A Ordinary Shares | 65647.0 | (1) | 65647 | D | |
| Share Appreciation Rights C | $27.13 | 4/21/2020 | | D (1) | | | 26769 | (1)(2) | 5/1/2020 | Class C Ordinary Shares | 26769.0 | (1) | 0 | D | |
| Share Appreciation Rights C | $27.13 | 4/21/2020 | | A (1) | | 26769 | | (1)(2) | 5/1/2023 | Class C Ordinary Shares | 26769.0 | (1) | 26769 | D | |
| Share Appreciation Rights C | $29.05 | 4/21/2020 | | D (1) | | | 13381 | (1)(2) | 5/1/2020 | Class C Ordinary Shares | 13381.0 | (1) | 0 | D | |
| Share Appreciation Rights C | $29.05 | 4/21/2020 | | A (1) | | 13381 | | (1)(2) | 5/1/2023 | Class C Ordinary Shares | 13381.0 | (1) | 13381 | D | |
| Share Appreciation Rights C | $25.84 | 4/21/2020 | | D (1) | | | 130674 | (1)(2) | 6/24/2020 | Class C Ordinary Shares | 130674.0 | (1) | 0 | D | |
| Share Appreciation Rights C | $25.84 | 4/21/2020 | | A (1) | | 130674 | | (1)(2) | 6/24/2023 | Class C Ordinary Shares | 130674.0 | (1) | 130674 | D | |
| Share Appreciation Rights C | $27.34 | 4/21/2020 | | D (1) | | | 65369 | (1)(2) | 6/24/2020 | Class C Ordinary Shares | 65369.0 | (1) | 0 | D | |
| Share Appreciation Rights C | $27.34 | 4/21/2020 | | A (1) | | 65369 | | (1)(2) | 6/24/2023 | Class C Ordinary Shares | 65369.0 | (1) | 65369 | D | |
| Explanation of Responses: |
| (1) | The reported transactions involve an extension of the seven-year exercise period on existing share appreciation rights (SAR) for an additional three-year period. For Form 4 reporting purposes, this is shown as if the outstanding SAR were to be cancelled and replaced by a new SAR. However, from the Issuer's perspective, no new SAR is issued, the Issuer has only extended the expiration term on the original grant, with the same pricing and other terms continuing to apply. |
| (2) | Vesting and exercise of the existing SAR has not changed as a result of the extension and therefore the SAR continues to be immediately exercisable. |
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 |
Salvato Andrea
161 HAMMERSMITH ROAD
LONDON, X0 |
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| SVP, CHIEF DEVELOPMENT OFFICER |
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Signatures
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| /s/ Isabel Coberly, Attorney-in-Fact | | 4/23/2020 |
| **Signature of Reporting Person | Date |
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