SEC Form 4 · accession 0001127602-15-028416
Liberty Global Ltd. · LBTYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Balan Nair
Officer — EVP & CTO
Period of report
Sep 30, 2015
Accepted (ET)
Oct 2, 2015 · 5:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001570585
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Liberty Global Class AF1 | Sep 30, 2015 | M | 9,701 | — | A | 75,814 | D | |
| Liberty Global Class A | Sep 30, 2015 | F | 4,520 | $42.94 | D | 71,294 | D | |
| Liberty Global Class CF1 | Sep 30, 2015 | M | 29,103 | — | A | 303,153 | D | |
| Liberty Global Class C | Sep 30, 2015 | F | 13,560 | $41.02 | D | 289,593 | D | |
| LiLAC Class AF1,F2 | Sep 30, 2015 | M | 485 | — | A | 3,789 | D | |
| LiLAC Class A | Sep 30, 2015 | F | 227 | $33.69 | D | 3,562 | D | |
| LiLAC Class CF1,F2 | Sep 30, 2015 | M | 1,455 | — | A | 14,907 | D | |
| LiLAC Class C | Sep 30, 2015 | F | 681 | $34.24 | D | 14,226 | D | |
| Liberty Global Class CF3 | holding | — | — | — | 6,284 | I | By 401(k) Plan | |
| LiLAC Class CF2 | holding | — | — | — | 314 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Liberty Global Restricted Share Units AF1,F4 | — | Sep 30, 2015 | M | 9,701 | D | — | — | Liberty Global Class A | 9,701 | 0 | D |
| Liberty Global Restricted Share Units CF1,F4 | — | Sep 30, 2015 | M | 29,103 | D | — | — | Liberty Global Class C | 29,103 | 0 | D |
| LiLAC Restricted Share Units AF1,F5 | — | Sep 30, 2015 | M | 485 | D | — | — | LiLAC Class A | 485 | 0 | D |
| LiLAC Restricted Share Units CF1,F5 | — | Sep 30, 2015 | M | 1,455 | D | — | — | LiLAC Class C | 1,455 | 0 | D |
Explanation of responses
- F1Each Restricted Share Unit represents a right to receive one share of Issuer's Liberty Global Class A ordinary shares, Liberty Global Class C ordinary shares, LiLAC Class A ordinary shares or LiLAC Class C ordinary shares, as the case may be.
- F2On July 1, 2015, the Issuer distributed, by means of a dividend, to each holder of ordinary shares one share of the corresponding Class of Issuer's Latin America and Caribbean (LiLAC) ordinary share for every twenty shares of that Class of Issuer's ordinary shares held by such holder as of the distribution record date. As a result, the Reporting Person received LiLAC Class A ordinary shares and LiLAC Class C ordinary shares.
- F3The Reporting Person received 79 shares contributed by Issuer under its 401(k) Plan as of June 30, 2015.
- F4The Restricted Share Units vest in two equal semi-annual installments on March 31, 2015 and September 30, 2015.
- F5The Restricted Share Units vest on September 30, 2015.
Remarks
The trading symbols for the Issuer's Liberty Global Class A, Class B, and Class C ordinary shares are LBTYA, LBTYB, and LBTYK, respectively. The trading symbols for the Issuer's LiLAC Class A, Class B, and Class C ordinary shares are LILA, LILAB, and LILAK, respectively.