FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Liberty Global, Inc. [ LBTY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/07/2011 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Series A Common Stock | 03/07/2011 | S | 146,683 | D | $43.0733(1) | 71,600(2) | I | By a trust | ||
Series A Common Stock | 03/08/2011 | S | 71,600 | D | $43.2299(4) | 0(2) | I | By a trust | ||
Series A Common Stock | 03/07/2011 | S | 198 | D | $43.0733(3) | 0(5) | I | By a trust | ||
Series C Common Stock | 03/07/2011 | M | 1,568,562 | A | $18.26 | 3,996,973(8) | D | |||
Series C Common Stock | 03/07/2011 | F(6) | 1,050,964 | D | $41.27 | 2,946,009 | D | |||
Series C Common Stock | 03/04/2011 | G | V | 100,000 | D | $0 | 2,846,009 | D | ||
Series A Common Stock | 952,177 | D | ||||||||
Series A Common Stock | 90,303(7) | I | By spouse | |||||||
Series C Common Stock | 820,263(2)(8) | I | By a trust | |||||||
Series C Common Stock | 294,869(7) | I | By spouse | |||||||
Series C Common Stock | 198(5) | I | By a trust |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 | ||||||||
Stock Option (right to buy) | $18.26 | 03/07/2011 | M | 1,568,562 | (9) | 06/07/2014 | Series C common | 1,568,562 | $0 | 0 | D |
Explanation of Responses: |
1. The price reflects a weighted average of sales made at prices ranging from $43.01 to $43.195. The Reporting Person agrees to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, information regarding the number of shares sold at each separate price. |
2. Held by a charitable remainder unitrust of which the Reporting Person is sole trustee and retains a unitrust interest in the trust. |
3. The price reflects a weighted average of sales made at prices ranging from $43.0167 to $43.13. The Reporting Person agrees to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, information regarding the number of shares sold at each separate price. |
4. The price reflects a weighted average of sales made at prices ranging from $43.11 to $43.3275. The Reporting Person agrees to provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, information regarding the number of shares sold at each separate price. |
5. Held by a charitable remainder unitrust of which the Reporting Person is sole trustee and, with his spouse, retains a unitrust interest in the trust. |
6. Stock withheld in payment of taxes and exercise price. |
7. Reporting Person disclaims beneficial ownership of these shares owned by his spouse. |
8. On December 30, 2010, the trust distributed to the Reporting Person an aggregate of 28,683 shares of the Issuer's Series C common stock (based on the average of the high and the low trading price of such shares on the trading date prior to such distribution) in satisfaction of the trust's payment obligation to the Reporting Person. |
9. The option is 100% vested. |
Remarks: |
The trading symbols for Issuer's Series A, Series B, and Series C common stock are LBTYA, LBTYB, and LBTYK, respectively. |
Michelle L. Keist, Attorney-in-Fact for John C. Malone | 03/09/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |