0001104659-14-037645.txt : 20140512 0001104659-14-037645.hdr.sgml : 20140512 20140512163426 ACCESSION NUMBER: 0001104659-14-037645 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140512 DATE AS OF CHANGE: 20140512 GROUP MEMBERS: BILL & MELINDA GATES FOUNDATION TRUST GROUP MEMBERS: MELINDA FRENCH GATES GROUP MEMBERS: WILLIAM H. GATES III SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Liberty Global plc CENTRAL INDEX KEY: 0001570585 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 981089808 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-87508 FILM NUMBER: 14833814 BUSINESS ADDRESS: STREET 1: 38 HANS CRESCENT CITY: LONDON STATE: X0 ZIP: SW1X 0LZ BUSINESS PHONE: 303-220-6600 MAIL ADDRESS: STREET 1: 12300 LIBERTY BOULEVARD CITY: ENGLEWOOD STATE: CO ZIP: 80112 FORMER COMPANY: FORMER CONFORMED NAME: Liberty Global Corp Ltd DATE OF NAME CHANGE: 20130227 FORMER COMPANY: FORMER CONFORMED NAME: Lynx Europe Ltd. DATE OF NAME CHANGE: 20130226 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CASCADE INVESTMENT LLC CENTRAL INDEX KEY: 0001052192 IRS NUMBER: 911680459 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 2365 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 BUSINESS PHONE: 4258030720 MAIL ADDRESS: STREET 1: 2365 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 SC 13G 1 a14-12522_1sc13g.htm SC 13G

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE

 

 

COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No.      )*

 

Liberty Global plc

(Name of Issuer)

Class A Ordinary Shares, nominal value $0.01 per share

(Title of Class of Securities)

G5480U 104

(CUSIP Number)

April 30, 2014

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

x

Rule 13d-1(c)

o

Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 



 

CUSIP No. G5480U 104

 

1.

Names of Reporting Persons
Cascade Investment, L.L.C.

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
State of Washington

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
8,736,009 (1)

 

6.

Shared Voting Power
-0-

 

7.

Sole Dispositive Power
8,736,009 (1)

 

8.

Shared Dispositive Power
-0-

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
8,736,009 (1)

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
4.1%
(2)

 

 

12.

Type of Reporting Person (See Instructions)
OO

 

 

 

 


(1) All Class A Ordinary Shares of Liberty Global plc (the “Issuer”) held by Cascade Investment, L.L.C. (“Cascade”) may be deemed to be beneficially owned by William H. Gates III as the sole member of Cascade.

(2) Based on 214,570,942 of the Issuer’s Class A Ordinary Shares outstanding as April 30, 2014, as reported in the Issuer’s Form 10-Q filed on May 6, 2014.

 



 

CUSIP No. G5480U 104

 

1.

Names of Reporting Persons
Bill & Melinda Gates Foundation Trust

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
State of Washington

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
-0-

 

6.

Shared Voting Power
2,119,515 (1)

 

7.

Sole Dispositive Power
-0-

 

8.

Shared Dispositive Power
2,119,515 (1)

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
2,119,515 (1)

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
1.0%
(2)

 

 

12.

Type of Reporting Person (See Instructions)
OO

 

 

 

 


(1) For purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, all Class A Ordinary Shares of Liberty Global plc (the “Issuer”) beneficially owned by Bill & Melinda Gates Foundation Trust (the “Trust”) may be deemed to be beneficially owned by William H. Gates III and Melinda French Gates as Co-Trustees of the Trust.

(2) Based on 214,570,942 of the Issuer’s Class A Ordinary Shares outstanding as April 30, 2014, as reported in the Issuer’s Form 10-Q filed on May 6, 2014.

 



 

CUSIP No. G5480U 104

 

1.

Names of Reporting Persons
William H. Gates III

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
United States of America

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
8,736,009 (1)

 

6.

Shared Voting Power
2,119,515 (2)

 

7.

Sole Dispositive Power
8,736,009 (1)

 

8.

Shared Dispositive Power
2,119,515 (2)

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
10,855,524 (1)(2)

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.1%
(3)

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

 


(1) All Class A Ordinary Shares of Liberty Global plc (the “Issuer”) held by Cascade Investment, L.L.C. (“Cascade”) may be deemed to be beneficially owned by William H. Gates III as the sole member of Cascade.

(2) Bill & Melinda Gates Foundation Trust (the “Trust”) beneficially owns 2,119,515 of the Issuer’s Class A Ordinary Shares.  For purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, all of the Issuer’s Class A Ordinary Shares beneficially owned by the Trust may be deemed to be beneficially owned by William H. Gates III and Melinda French Gates as Co-Trustees of the Trust.

(3) Based on 214,570,942 of the Issuer’s Class A Ordinary Shares outstanding as April 30, 2014, as reported in the Issuer’s Form 10-Q filed on May 6, 2014.

 



 

CUSIP No. G5480U 104

 

1.

Names of Reporting Persons
Melinda French Gates

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
United States of America

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
-0-

 

6.

Shared Voting Power
2,119,515
(1)

 

7.

Sole Dispositive Power
-0-

 

8.

Shared Dispositive Power
2,119,515
(1)

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
2,119,515
(1)

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
1.0%
(2)

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

 


(1) Bill & Melinda Gates Foundation Trust (the “Trust”) beneficially owns 2,119,515 of the Class A Ordinary Shares of Liberty Global plc (the “Issuer”).  For purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, all of the Issuer’s Class A Ordinary Shares beneficially owned by the Trust may be deemed to be beneficially owned by William H. Gates III and Melinda French Gates as Co-Trustees of the Trust.

(2) Based on 214,570,942 of the Issuer’s Class A Ordinary Shares outstanding as April 30, 2014, as reported in the Issuer’s Form 10-Q filed on May 6, 2014.

 



 

Item 1.

 

(a)

Name of Issuer
Liberty Global plc (the “Issuer”)

 

(b)

Address of Issuer’s Principal Executive Offices
38 Hans Crescent
London, England  SW1X 0LZ

Item 2.

 

(a)

Name of Person Filing
Cascade Investment, L.L.C. (“Cascade”), Bill & Melinda Gates Foundation Trust (the “Trust”), Melinda French Gates and William H. Gates III (together, “Reporting Persons”)(1)

 

(b)

Address of Principal Business Office or, if none, Residence
Cascade – 2365 Carillon Point, Kirkland, Washington 98033

The Trust – 500 Fifth Avenue North, Seattle, Washington  98119

Mr. Gates – One Microsoft Way, Redmond, Washington  98052

Mrs. Gates – 500 Fifth Avenue North, Seattle, Washington 98119

 

(c)

Citizenship
Cascade is a limited liability company organized under the laws of the State of Washington.

The Trust is a charitable trust organized under the laws of the State of Washington.

Mr. and Mrs. Gates are citizens of the United States of America.

 

(d)

Title of Class of Securities
Class A Ordinary Shares, nominal value $0.01 per share.

 

(e)

CUSIP Number
G5480U 104

Item 3.

If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a:

 

Not Applicable.

 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned:   

See the responses to Item 9 on the attached cover pages.

 

(b)

Percent of class:   

See the responses to Item 11 on the attached cover pages.

 

(c)

Number of shares as to which the person has:

 

 

(i)

Sole power to vote or to direct the vote   

See the responses to Item 5 on the attached cover pages.

 

 

(ii)

Shared power to vote or to direct the vote    

See the responses to Item 6 on the attached cover pages.

 

 

(iii)

Sole power to dispose or to direct the disposition of   

See the responses to Item 7 on the attached cover pages.

 

 

(iv)

Shared power to dispose or to direct the disposition of   

See the responses to Item 8 on the attached cover pages.

 


(1) Neither the present filing nor anything contained herein shall be construed as an admission that the Reporting Persons constitute a “group” for any purpose and each expressly disclaims membership in a group.

 



 

Item 5.

Ownership of 5 Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following   o.

 

Item 6.

Ownership of More than 5 Percent on Behalf of Another Person

 

Not Applicable.

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

 

Not Applicable.

 

Item 8.

Identification and Classification of Members of the Group

 

Not Applicable.

 

Item 9.

Notice of Dissolution of Group

 

Not Applicable.

 

 

Item 10.

Certification

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 



 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 

Date:   May 12, 2014

CASCADE INVESTMENT, L.L.C.

 

 

 

 

By:

*

 

 

 

Name:

Alan Heuberger (1)

 

 

Title:

Attorney-in-fact for
Michael Larson, Business Manager

 

 

 

 

BILL & MELINDA GATES FOUNDATION TRUST (1)

 

 

 

 

By:

*

 

 

 

Name:

Alan Heuberger (2)

 

 

Title:

Attorney-in-fact for each of the Co-
Trustees, William H. Gates III and
Melinda French Gates

 

 

 

 

WILLIAM H. GATES III

 

 

 

 

By:

*

 

 

 

Name:

Alan Heuberger (2)(3)

 

 

Title:

Attorney-in-fact

 

 

 

 

 

 

 

 

MELINDA FRENCH GATES

 

 

 

 

By:

*

 

 

 

Name:

Alan Heuberger (2)

 

 

Title:

Attorney-in-fact

 

 

 

 

 

 

 

 

*By:

/s/ Alan Heuberger

 

 

 

Alan Heuberger

 

 

 

 

 

 

 


(1) Duly authorized under Special Limited Power of Attorney appointing Alan Heuberger attorney-in-fact, dated October 11, 2013, by and on behalf of Michael Larson, filed as Exhibit 99.1 to Amendment No. 9 to Cascade’s Schedule 13D with respect to Western Asset/Claymore Inflation-Linked Opportunities & Income Fund on December 11, 2013, SEC File No. 005-81261, and incorporated by reference herein.

 

(2) Duly authorized under Special Limited Power of Attorney appointing Alan Heuberger attorney-in-fact, dated August 12, 2008, by and on behalf of William H. Gates III and Melinda French Gates III as Co-Trustees, filed as Exhibit 99.5 to Cascade’s Schedule 13D with respect to Grupo Televisa, S.A.B. on May 7, 2009, SEC File No. 005-60431 and incorporated by reference herein.

 

(3) Duly authorized under Special Limited Power of Attorney appointing Alan Heuberger attorney-in-fact, dated August 12, 2008, by and on behalf of William H. Gates III, filed as Exhibit 99.2 to Amendment No. 1 to Cascade’s Schedule 13D with respect to Otter Tail Corporation on April 15, 2009, SEC File No. 005-06638 and incorporated by reference herein.

 



 

JOINT FILING AGREEMENT

 

We, the signatories of the statement to which this Joint Filing Agreement is attached, hereby agree that such statement is filed, and any amendments thereto filed by any or all of us, will be filed, on behalf of each of us.

 

 

Date:   May 12, 2014

CASCADE INVESTMENT, L.L.C.

 

 

 

 

By:

*

 

 

 

Name:

Alan Heuberger(1)

 

 

Title:

Attorney-in-fact for Michael Larson,
Business Manager

 

 

 

 

BILL & MELINDA GATES FOUNDATION TRUST

 

 

 

 

By:

*

 

 

 

Name:

Alan Heuberger (2)

 

 

Title:

Attorney-in-fact for each of the Co-
Trustees, William H. Gates III and
Melinda French Gates

 

 

 

 

WILLIAM H. GATES III

 

 

 

 

By:

*

 

 

 

Name:

Alan Heuberger(2)(3)

 

 

Title:

Attorney-in-fact

 

 

 

 

 

 

 

 

MELINDA FRENCH GATES

 

 

 

 

By:

*

 

 

 

Name:

Alan Heuberger (2)

 

 

Title:

Attorney-in-fact

 

 

 

 

 

 

 

 

 

 

 

 

*By:

/s/ Alan Heuberger

 

 

 

Alan Heuberger

 

 

 

 

 

 

 


(1) Duly authorized under Special Limited Power of Attorney appointing Alan Heuberger attorney-in-fact, dated October 11, 2013, by and on behalf of Michael Larson, filed as Exhibit 99.1 to Amendment No. 9 to Cascade’s Schedule 13D with respect to Western Asset/Claymore Inflation-Linked Opportunities & Income Fund on December 11, 2013, SEC File No. 005-81261, and incorporated by reference herein.

 

(2) Duly authorized under Special Limited Power of Attorney appointing Alan Heuberger attorney-in-fact, dated August 12, 2008, by and on behalf of William H. Gates III and Melinda French Gates III as Co-Trustees, filed as Exhibit 99.5 to Cascade’s Schedule 13D with respect to Grupo Televisa, S.A.B. on May 7, 2009, SEC File No. 005-60431 and incorporated by reference herein.

 

(3) Duly authorized under Special Limited Power of Attorney appointing Alan Heuberger attorney-in-fact, dated August 12, 2008, by and on behalf of William H. Gates III, filed as Exhibit 99.2 to Amendment No. 1 to Cascade’s Schedule 13D with respect to Otter Tail Corporation on April 15, 2009, SEC File No. 005-06638 and incorporated by reference herein.