SEC Form 4 · accession 0001570585-16-000719
Liberty Global Ltd. · LBTYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bernard G Dvorak
Officer — EVP & Co-CFO
Period of report
Jun 24, 2016
Accepted (ET)
Jun 27, 2016 · 5:44 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,F2 | Jun 24, 2016 | M | 3,500 | — | A | 11,560 | I | By Spouse |
| Liberty Global Class AF2 | Jun 24, 2016 | F | 1,120 | $28.80 | D | 10,440 | I | By Spouse |
| Liberty Global Class CF1,F2 | Jun 24, 2016 | M | 10,500 | — | A | 112,827 | I | By Spouse |
| Liberty Global Class CF2 | Jun 24, 2016 | F | 3,360 | $28.66 | D | 109,467 | I | By Spouse |
| LiLAC Class AF1,F2 | Jun 24, 2016 | M | 175 | — | A | 554 | I | By Spouse |
| LiLAC Class AF2 | Jun 24, 2016 | F | 56 | $33.44 | D | 498 | I | By Spouse |
| LiLAC Class CF1,F2 | Jun 24, 2016 | M | 525 | — | A | 5,581 | I | By Spouse |
| LiLAC Class CF2 | Jun 24, 2016 | F | 168 | $33.87 | D | 5,413 | I | By Spouse |
| Liberty Global Class A | holding | — | — | — | 22,894 | D | ||
| Liberty Global Class C | holding | — | — | — | 246,434 | D | ||
| LiLAC Class A | holding | — | — | — | 1,141 | D | ||
| LiLAC Class C | holding | — | — | — | 12,567 | D | ||
| Liberty Global Class A | holding | — | — | — | 510 | I | By 401(k) Plan | |
| Liberty Global Class CF3 | holding | — | — | — | 11,399 | I | By 401(k) Plan | |
| LiLAC Class C | holding | — | — | — | 555 | I | By 401(k) Plan | |
| LiLAC Class A | holding | — | — | — | 25 | I | By 401(k) Plan | |
| Liberty Global Class AF2 | holding | — | — | — | 1,551 | I | By 401(k) Plan for Spouse | |
| Liberty Global Class CF2,F4 | holding | — | — | — | 14,416 | I | By 401(k) Plan for Spouse | |
| LiLAC Class AF2 | holding | — | — | — | 77 | I | By 401(k) Plan for Spouse | |
| LiLAC Class CF2 | holding | — | — | — | 707 | I | By 401(k) Plan for Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Liberty Global Share Appreciation Rights AF5 | $31.87 | Jun 24, 2016 | A | 170,684 | A | Jun 24, 2016 | Jun 24, 2020 | Liberty Global Class A | 170,684 | 170,684 | D |
| Liberty Global Share Appreciation Rights CF5 | $31.61 | Jun 24, 2016 | A | 169,960 | A | Jun 24, 2016 | Jun 24, 2020 | Liberty Global Class C | 169,960 | 169,960 | D |
| Liberty Global Share Appreciation Rights CF5 | $29.88 | Jun 24, 2016 | A | 339,754 | A | Jun 24, 2016 | Jun 24, 2020 | Liberty Global Class C | 339,754 | 339,754 | D |
| LiLAC Share Appreciation Rights AF5 | $30.02 | Jun 24, 2016 | A | 8,531 | A | Jun 24, 2016 | Jun 24, 2020 | LiLAC Class A | 8,531 | 8,531 | D |
| LiLAC Share Appreciation Rights CF5 | $31.37 | Jun 24, 2016 | A | 8,492 | A | Jun 24, 2016 | Jun 24, 2020 | LiLAC Class C | 8,492 | 8,492 | D |
| LiLAC Share Appreciation Rights CF5 | $29.66 | Jun 24, 2016 | A | 16,985 | A | Jun 24, 2016 | Jun 24, 2020 | LiLAC Class C | 16,985 | 16,985 | D |
| Liberty Global Share Appreciation Rights AF2,F6 | $31.87 | Jun 24, 2016 | A | 32,823 | A | Jun 24, 2016 | Jun 24, 2020 | Liberty Global Class A | 32,823 | 32,823 | I |
| Liberty Global Share Appreciation Rights CF2,F6 | $31.61 | Jun 24, 2016 | A | 32,684 | A | Jun 24, 2016 | Jun 24, 2020 | Liberty Global Class C | 32,684 | 32,684 | I |
| Liberty Global Share Appreciation Rights CF2,F6 | $29.88 | Jun 24, 2016 | A | 65,337 | A | Jun 24, 2016 | Jun 24, 2020 | Liberty Global Class C | 65,337 | 65,337 | I |
| LiLAC Share Appreciation Rights AF2,F6 | $30.02 | Jun 24, 2016 | A | 1,640 | A | Jun 24, 2016 | Jun 24, 2020 | LiLAC Class A | 1,640 | 1,640 | I |
| LiLAC Share Appreciation Rights CF2,F6 | $31.37 | Jun 24, 2016 | A | 1,633 | A | Jun 24, 2016 | Jun 24, 2020 | LiLAC Class C | 1,633 | 1,633 | I |
| LiLAC Share Appreciation Rights CF2,F6 | $29.66 | Jun 24, 2016 | A | 3,266 | A | Jun 24, 2016 | Jun 24, 2020 | LiLAC Class C | 3,266 | 3,266 | I |
| Liberty Global Restricted Share Units AF1,F2 | — | Jun 24, 2016 | A | 3,500 | A | — | — | Liberty Global Class A | 3,500 | 3,500 | I |
| Liberty Global Restricted Share Units CF1,F2 | — | Jun 24, 2016 | A | 10,500 | A | — | — | Liberty Global Class C | 10,500 | 10,500 | I |
| LiLAC Restricted Share Units AF1,F2 | — | Jun 24, 2016 | A | 175 | A | — | — | LiLAC Class A | 175 | 175 | I |
| LiLAC Restricted Share Units CF1,F2 | — | Jun 24, 2016 | A | 525 | A | — | — | LiLAC Class C | 525 | 525 | I |
| Liberty Global Restricted Share Units AF1,F2 | — | Jun 24, 2016 | M | 3,500 | D | — | — | Liberty Global Class A | 3,500 | 0 | I |
| Liberty Global Restricted Share Units CF1,F2 | — | Jun 24, 2016 | M | 10,500 | D | — | — | Liberty Global Class C | 10,500 | 0 | I |
| LiLAC Restricted Share Units AF1,F2 | — | Jun 24, 2016 | M | 175 | D | — | — | LiLAC Class A | 175 | 0 | I |
| LiLAC Restricted Share Units CF1,F2 | — | Jun 24, 2016 | M | 525 | D | — | — | LiLAC Class C | 525 | 0 | I |
Explanation of responses
- F1Shares acquired by the spouse of the Reporting Person upon the vesting of restricted share units. The spouse of the Reporting Person was granted the restricted share units subject to the satisfaction of certain performance criteria and continued employment on June 24, 2016.
- F2The 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.
- F3The Reporting Person received 136 shares contributed by Issuer under its 401(k) Plan as of March 31, 2016.
- F4The Reporting Person's spouse received 88 shares contributed by Issuer under its 401(k) Plan as of March 31, 2016.
- F5On June 24, 2013, the Reporting Person was granted a share appreciation right based on the number of ordinary shares of the applicable class of the Issuer's ordinary shares, subject to satisfaction of certain performance criteria and continued employment on June 24, 2016. The performance criteria has been met, resulting in the vesting of the share appreciation right.
- F6On June 24, 2013, the Reporting Person's spouse was granted a share appreciation right based on the number of ordinary shares of the applicable class of the Issuer's ordinary shares, subject to satisfaction of certain performance criteria and continued employment on June 24, 2016. The performance criteria has been met, resulting in the vesting of the share appreciation right.
Remarks
The trading symbols for the Issuer's classes of ordinary shares are LBTYA, LBTYB, LBTYK, LILA, LILAB, and LILAK.