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). | |||||||||||||||||
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Liberty Global plc [ LBTY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/24/2023 | ||||||||||||||||||||||||||
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 | ||||||
Class A Ordinary Shares | 08/24/2023 | J(1) | V | 1,950,553 | A | $0 | 4,248,415(2) | D | ||
Class A Ordinary Shares | 08/24/2023 | J(1) | V | 50,013 | A | $0 | 174,821(2)(3) | I | By Spouse | |
Class A Ordinary Shares | 08/24/2023 | J(1) | V | 2,140,050(4) | D | $0 | 0(1)(5) | I | by Columbus Holding LLC | |
Class C Ordinary Shares | 08/24/2023 | J(1) | V | 4,316,867 | A | $0 | 9,067,743(2) | D | ||
Class C Ordinary Shares | 08/24/2023 | J(1) | V | 110,686 | A | $0 | 798,591(2)(3) | I | By Spouse | |
Class C Ordinary Shares | 08/24/2023 | J(1) | V | 4,736,253(4) | D | $0 | 0(1)(5) | I | by Columbus Holding LLC | |
Class C Ordinary Shares | 6,757,225(6) | 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 |
Explanation of Responses: |
1. Columbus Holding LLC (CHLLC) made a pro rata distribution of the Issuer's common shares to its members in accordance with capital account percentages. |
2. Includes shares received as a pro rata distribution from CHLLC. In prior reports, the Reporting Person reported indirect beneficial ownership of such common shares previously held by CHLLC. |
3. The 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. |
4. Includes shares distributed to the Reporting Person and his spouse by CHLLC in respect of the Reporting Person's pecuniary interest therein. CHLLC also distributed the Issuer's common shares to non-controlling persons of the Issuer who are not subject to the provisions of Section 16. |
5. Shares were previously held indirectly through Columbus Holding LLC, of which the Reporting Person has a controlling interest. Accordingly, the Reporting Person may have been deemed to be the indirect beneficial owner of the securities owned by CHLLC. The Reporting Person disclaims beneficial ownership of those securities, except to the extent of his pecuniary interest therein. |
6. Held by a charitable remainder unitrust of which the Reporting Person is co-trustee and, with his spouse, retains a unitrust interest in the trust. |
Remarks: |
The trading symbols for the Issuer's classes of ordinary shares are LBTYA, LBTYB, and LBTYK. |
/s/ Jennifer A. Hodges, Attorney-in-Fact | 08/28/2023 | |
** 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. |