SEC Form 4 · accession 0001570585-17-000139
Liberty Global Ltd. · LBTYA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael T Fries
Officer — President & CEO · Director
Period of report
May 1, 2017
Accepted (ET)
May 3, 2017 · 5:31 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 A | May 1, 2017 | M | 71,370 | $10.93 | A | 572,983 | D | |
| Liberty Global Class A | May 1, 2017 | F | 44,921 | $35.69 | D | 528,062 | D | |
| Liberty Global Class C | May 1, 2017 | M | 142,107 | $10.68 | A | 1,175,579 | D | |
| Liberty Global Class C | May 1, 2017 | M | 71,036 | $10.78 | A | 1,246,615 | D | |
| Liberty Global Class C | May 1, 2017 | F | 134,336 | $34.80 | D | 1,112,279 | D | |
| LiLAC Class A | May 1, 2017 | M | 3,568 | $11.84 | A | 209,547 | D | |
| LiLAC Class A | May 1, 2017 | M | 8,904 | $13.16 | A | 218,451 | D | |
| LiLAC Class A | May 1, 2017 | F | 9,785 | $21.43 | D | 208,666 | D | |
| LiLAC Class C | May 1, 2017 | M | 7,105 | $12.26 | A | 192,715 | D | |
| LiLAC Class C | May 1, 2017 | M | 3,551 | $12.37 | A | 196,266 | D | |
| LiLAC Class C | May 1, 2017 | M | 17,730 | $13.40 | A | 213,996 | D | |
| LiLAC Class C | May 1, 2017 | M | 8,863 | $13.52 | A | 222,859 | D | |
| LiLAC Class C | May 1, 2017 | F | 29,300 | $21.84 | D | 193,559 | D | |
| Liberty Global Class A | holding | — | — | — | 1,977 | I | By 401(k) Plan | |
| Liberty Global Class C | holding | — | — | — | 13,063 | I | By 401(k) Plan | |
| LiLAC Class A | holding | — | — | — | 345 | I | By 401(k) Plan | |
| LiLAC Class C | holding | — | — | — | 2,283 | 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 Share Appreciation Rights AF1 | $35.69 | May 1, 2017 | A | 227,832 | A | — | May 1, 2024 | Liberty Global Class A | 227,832 | 227,832 | D |
| Liberty Global Share Appreciation Rights CF1 | $34.80 | May 1, 2017 | A | 455,664 | A | — | May 1, 2024 | Liberty Global Class C | 455,664 | 455,664 | D |
| LiLAC Share Appreciation Rights AF1 | $21.43 | May 1, 2017 | A | 28,480 | A | — | May 1, 2024 | LiLAC Class A | 28,480 | 28,480 | D |
| LiLAC Share Appreciation Rights CF1 | $21.84 | May 1, 2017 | A | 56,960 | A | — | May 1, 2024 | LiLAC Class C | 56,960 | 56,960 | D |
| Liberty Global Share Appreciation Rights AF2 | $10.93 | May 1, 2017 | M | 71,370 | D | — | May 1, 2017 | Liberty Global Class A | 71,370 | 0 | D |
| Liberty Global Share Appreciation Rights CF2 | $10.68 | May 1, 2017 | M | 142,107 | D | — | May 1, 2017 | Liberty Global Class C | 142,107 | 0 | D |
| Liberty Global Share Appreciation Rights CF2 | $10.78 | May 1, 2017 | M | 71,036 | D | — | May 1, 2017 | Liberty Global Class C | 71,036 | 0 | D |
| LiLAC Share Appreciation Rights AF2 | $11.84 | May 1, 2017 | M | 3,568 | D | — | May 1, 2017 | LiLAC Class A | 3,568 | 0 | D |
| LiLAC Share Appreciation Rights AF2 | $13.16 | May 1, 2017 | M | 8,904 | D | — | May 1, 2017 | LiLAC Class A | 8,904 | 0 | D |
| LiLAC Share Appreciation Rights CF2 | $12.26 | May 1, 2017 | M | 7,105 | D | — | May 1, 2017 | LiLAC Class C | 7,105 | 0 | D |
| LiLAC Share Appreciation Rights CF2 | $12.37 | May 1, 2017 | M | 3,551 | D | — | May 1, 2017 | LiLAC Class C | 3,551 | 0 | D |
| LiLAC Share Appreciation Rights CF2 | $13.40 | May 1, 2017 | M | 17,730 | D | — | May 1, 2017 | LiLAC Class C | 17,730 | 0 | D |
| LiLAC Share Appreciation Rights CF2 | $13.52 | May 1, 2017 | M | 8,863 | D | — | May 1, 2017 | LiLAC Class C | 8,863 | 0 | D |
Explanation of responses
- F1The SARs provide for vesting of 12.5% of the shares on November 1, 2017, and the remaining shares in 14 equal quarterly installments commencing February 1, 2018.
- 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.