Statement of Changes in Beneficial Ownership (4)
March 17 2020 - 5:31PM
Edgar (US Regulatory)
FORM 4
[ ]
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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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
*
Rodriguez Enrique |
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)
EVP, Chief Technology Officer |
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(Last)
(First)
(Middle)
161 HAMMERSMITH ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/13/2020 |
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(Street)
LONDON XO
(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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| Class A Ordinary Shares | 3/13/2020 | | A | | 38158 (1) | A | $0 (1) | 54416 | D | |
| Class A Ordinary Shares | 3/13/2020 | | F | | 17851 | D | $17.26 | 36565 | D | |
| Class C Ordinary Shares | 3/13/2020 | | A | | 76316 (1) | A | $0 (1) | 108851 | D | |
| Class C Ordinary Shares | 3/13/2020 | | F | | 35702 | D | $16.37 | 73149 | D | |
| Class C Ordinary Shares | | | | | | | | 1480 | I | By 401(k) Plan |
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 |
| Restricted Share Units A | (2) | 3/13/2020 | | A | | 4769 | | (3) | (3) | Class A Ordinary Shares | 4769.0 | (2) | 4769 | D | |
| Restricted Share Units C | (2) | 3/13/2020 | | A | | 9538 | | (3) | (3) | Class C Ordinary Shares | 9538.0 | (2) | 9538 | D | |
| Explanation of Responses: |
| (1) | The Issuer's annual performance award program includes a shareholder incentive program that allows participants, including the Reporting Person, to receive up to 100% of their annual performance awards inordinary shares of the Issuer in lieu of cash; thereby, aligning our employees' interests and our shareholders. These shares represent the Reporting Person's election to receive such ordinary shares in respect of his 2019 annual performance award (the Bonus Shares). |
| (2) | Each Restricted Share Unit (RSU) represents a right to receive one share of Issuer's Class A ordinary shares or Class C ordinary shares, as the case may be. |
| (3) | Based on the Reporting Person's share election described in footnote 1, the Reporting Person also received RSUs equal to 12.5% of the Bonus Shares pursuant to the shareholder incentive program of the 2019 annual performance award program. These RSUs will vest in full on March 1, 2021, provided that the Reporting Person does not sell, transfer or otherwise dispose of the Bonus Shares through such date. |
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 |
Rodriguez Enrique
161 HAMMERSMITH ROAD
LONDON XO |
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| EVP, Chief Technology Officer |
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Signatures
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| /s/ Isabel Coberly, Attorney-in-Fact | | 3/17/2020 |
| **Signature of Reporting Person | Date |
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