SEC Form 4 · accession 0001570585-16-000957
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
Nov 8, 2016
Accepted (ET)
Nov 9, 2016 · 5:51 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| LiLAC Class C | Nov 8, 2016 | M | 3,108 | $12.37 | A | 49,150 | D | |
| LiLAC Class C | Nov 8, 2016 | M | 15,516 | $13.40 | A | 64,666 | D | |
| LiLAC Class C | Nov 8, 2016 | M | 6,217 | $12.26 | A | 70,883 | D | |
| LiLAC Class C | Nov 8, 2016 | M | 7,756 | $13.52 | A | 78,639 | D | |
| LiLAC Class C | Nov 8, 2016 | F | 26,501 | $20.18 | D | 52,138 | D | |
| LiLAC Class CF1 | Nov 8, 2016 | M | 888 | $12.37 | A | 19,800 | I | By Spouse |
| LiLAC Class CF1 | Nov 8, 2016 | M | 1,776 | $12.26 | A | 21,576 | I | By Spouse |
| LiLAC Class CF1 | Nov 8, 2016 | M | 2,216 | $13.52 | A | 23,792 | I | By Spouse |
| LiLAC Class CF1 | Nov 8, 2016 | M | 4,433 | $13.40 | A | 28,225 | I | By Spouse |
| LiLAC Class CF1 | Nov 8, 2016 | F | 7,573 | $20.18 | D | 20,652 | I | By Spouse |
| LiLAC Class C | holding | — | — | — | 1,977 | I | By 401(k) Plan | |
| LiLAC Class CF1 | holding | — | — | — | 2,505 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LiLAC Share Appreciation Rights CF2 | $12.37 | Nov 8, 2016 | M | 3,108 | D | — | May 1, 2017 | LiLAC Class C | 3,108 | 0 | D |
| LiLAC Share Appreciation Rights CF2 | $13.40 | Nov 8, 2016 | M | 15,516 | D | — | May 1, 2017 | LiLAC Class C | 15,516 | 0 | D |
| LiLAC Share Appreciation Rights CF2 | $12.26 | Nov 8, 2016 | M | 6,217 | D | — | May 1, 2017 | LiLAC Class C | 6,217 | 0 | D |
| LiLAC Share Appreciation Rights CF2 | $13.52 | Nov 8, 2016 | M | 7,756 | D | — | May 1, 2017 | LiLAC Class C | 7,756 | 0 | D |
| LiLAC Share Appreciation Rights CF1,F2 | $12.37 | Nov 8, 2016 | M | 888 | D | — | May 1, 2017 | LiLAC Class C | 888 | 0 | I |
| LiLAC Share Appreciation Rights CF1,F2 | $12.26 | Nov 8, 2016 | M | 1,776 | D | — | May 1, 2017 | LiLAC Class C | 1,776 | 0 | I |
| LiLAC Share Appreciation Rights CF1,F2 | $13.52 | Nov 8, 2016 | M | 2,216 | D | — | May 1, 2017 | LiLAC Class C | 2,216 | 0 | I |
| LiLAC Share Appreciation Rights CF1,F2 | $13.40 | Nov 8, 2016 | M | 4,433 | D | — | May 1, 2017 | LiLAC Class C | 4,433 | 0 | I |
Explanation of responses
- F1The 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.
- F2The SARs are immediately exercisable.
Remarks
The trading symbols for the Issuer's classes of ordinary shares are LBTYA, LBTYB, LBTYK, LILA, LILAB, and LILAK.