5th Nov 2015 12:28
FORM 8 (OPD)
PUBLIC OPENING POSITION DISCLOSURE BY A PARTY TO AN OFFER
Rules 8.1 and 8.2 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: | LIBERTY GLOBAL PLC |
(b) Owner or controller of interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named. | N/A |
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | OFFEROR - LIBERTY GLOBAL PLC |
(d) Is the discloser the offeror or the offeree? | OFFEROR |
(e) Date position held: The latest practicable date prior to the disclosure | 4 NOVEMBER 2015 |
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state "N/A" | YES - CABLE & WIRELESS COMMUNICATIONS PLC AS OFFEREE |
2. POSITIONS OF THE PARTY TO THE OFFER MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates
Class of relevant security:
| Liberty Global Class C ordinary shares of US$0.01 each | |||
| Interests | Short positions | ||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | Nil | Nil | Nil | Nil |
(2) Cash-settled derivatives:
| Nil | Nil | Nil | Nil |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | Details provided in the Rule 2.10 announcement dated 5 November 2015 | 1.362 | Details provided in the Rule 2.10 announcement dated 5 November 2015 | 1.362 |
TOTAL: | Details provided in the Rule 2.10 announcement dated 5 November 2015 | 1.362 | Details provided in the Rule 2.10 announcement dated 5 November 2015 | 1.362 |
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).
(b) Rights to subscribe for new securities
Class of relevant security in relation to which subscription right exists: | None |
Details, including nature of the rights concerned and relevant percentages: | None |
3. POSITIONS OF PERSONS ACTING IN CONCERT WITH THE PARTY TO THE OFFER MAKING THE DISCLOSURE
Details of any interests, short positions and rights to subscribe (including directors' and other employee options) of any person acting in concert with the party to the offer making the disclosure: |
(a) Interest in Liberty Global plc ordinary shares held by the directors of Liberty Global plc and their close relatives and related trusts
Class of relevant securities: | Liberty Global Class A ordinary shares of US$0.01 each | Liberty Global Class B ordinary shares of US$0.01 each | Liberty Global Class C ordinary shares of US$0.01 each | |||
Name | Number of shares held | % of Liberty A (to 3 d.p.) | Number of shares held | % of Liberty B (to 3 d.p.) | Number of shares held | % of Liberty C (to 3 d.p.) |
Andrew J. Cole | 19,246 | 0.008 | - | - | 47,190 | 0.008 |
John P. Cole, Jr. | 10,496 | 0.004 | - | - | 49,488 | 0.008 |
Miranda Curtis | 126,355 | 0.050 | - | - | 371,889 | 0.062 |
John W. Dick | 16,725 | 0.007 | - | - | 43,269 | 0.007 |
Michael T. Fries | 432,241(1) | 0.171 | 333,333(2) | 3.183 | 1,309,100(3) | 0.219 |
Paul A. Gould | 216,071(4) | 0.085 | 51,429 | 0.491 | 964,591(5) | 0.161 |
Richard R. Green | 7,533(6) | 0.003 | - | - | 18,379(7) | 0.003 |
John C. Malone | 1,090,480 (8) | 0.431 | 8,787,373(9) | 83.909 | 12,220,905(10) | 2.043 |
David E. Rapley | 2,785 | 0.001 | - | - | 18,897 | 0.003 |
Larry E. Romrell | 24,488 | 0.010 | - | - | 63,165 | 0.011 |
J.C. Sparkman | 11,262 | 0.004 | - | - | 23,425 | 0.004 |
J. David Wargo | 19,376(11) | 0.008 | - | - | 56,535(12) | 0.009 |
Grand Total | 1,977,058 | 0.782 | 9,172,135 | 87.583 | 15,186,833 | 2.538 |
Notes
(1) Includes (a) 1,977 shares held by Liberty Global 401(k) Savings and Stock Ownership Plan and (b) 46,200 shares held by a trust managed by an independent trustee for the benefit of Mr. Fries' children and to which Mr. Fries retains the right to substitute the assets in the trust.
(2) Additionally, pursuant to a letter agreement dated as of February 13, 2014, among Michael T. Fries, Liberty Global plc's CEO and a director, Mr. Malone and the Malone Trust (as defined in footnote 9 below) have agreed that, for so long as Mr. Fries is employed as a principal executive officer by Liberty Global plc or serving on its board of directors, (a) in the event the Malone Trust or any permitted transferee (as defined in the letter agreement) is not voting the Liberty Global Class B ordinary shares owned by the Malone Trust, Mr. Fries will have the right to vote such Liberty Global Class B ordinary shares and (b) in the event the Malone Trust or any permitted transferee determines to sell such Liberty Global Class B ordinary shares, Mr. Fries (individually or through an entity he controls) will have an exclusive right to negotiate to purchase such shares, and if the parties fail to come to an agreement and the Malone Trust or any permitted transferee subsequently intends to enter into a sale transaction with a third party, Mr. Fries (or an entity controlled by him) will have a right to match the offer made by such third party.
(3) Includes (a) 13,063 shares held by Liberty Global 401(k) Savings and Stock Ownership Plan and (b) 283,360 shares held by a trust managed by an independent trustee for the benefit of Mr. Fries' children and to which Mr. Fries retains the right to substitute the assets in the trust.
(4) Includes 7,213 shares deferred.
(5) Includes 19,207 shares deferred.
(6) Includes 2,698 shares deferred.
(7) Includes 8,166 shares deferred.
(8) Includes (a) 90,303 shares held by Mr. Malone's spouse, as to which Mr. Malone disclaims beneficial ownership and (b) 48,000 shares held by two trusts managed by an independent trustee for the benefit of Mr. Malone's adult children and to which Mr. Malone retains the right to substitute the assets in the trusts.
(9) Includes (a) 8,677,225 shares held by a trust with respect to which Mr. Malone is the co-trustee and together with his spouse retains a unitrust interest in the trust (the "Malone Trust") and (b) 110,148 shares held by two trusts managed by an independent trustee for the benefit of Mr. Malone's adult children and to which Mr. Malone retains the right to substitute the assets in the trusts. See also note 2 above.
(10) Includes (a) 680,041 shares held by Mr. Malone's spouse, as to which Mr. Malone disclaims beneficial ownership, (b) 7,197,225 shares held by the Malone Trust and (c) 75,444 shares held by two trusts managed by an independent trustee for the benefit of Mr. Malone's adult children and to which Mr. Malone retains the right to substitute the assets in the trusts. In addition, 2,200,000 shares are subject to a long-dated post-paid variable forward sale contract.
(11) Includes (a) 158 shares held in managed accounts, as to which Mr. Wargo disclaims beneficial ownership, and (b) 5,004 shares deferred.
(12) Includes (a) 32 shares held by Mr. Wargo's spouse, as to which Mr. Wargo disclaims beneficial ownership, (b) 556 shares held in managed accounts, as to which Mr. Wargo disclaims beneficial ownership, and (c) 13,087 shares deferred.
(b) Interest in LiLAC ordinary shares held by the directors of Liberty Global plc and their close relatives and related trusts
Class of relevant securities: | LiLAC Class A ordinary shares of US$0.01 each | LiLAC Class B ordinary shares of US$0.01 each | LiLAC Class C ordinary shares of US$0.01 each | |||
Name | Number of shares held | % of LiLAC A (to 3 d.p.) | Number of shares held | % of LiLAC B (to 3 d.p.) | Number of shares held | % of LiLAC C (to 3 d.p.) |
Andrew J. Cole | 954 | 0.008 | - | - | 2,343 | 0.008 |
John P. Cole, Jr. | 513 | 0.004 | - | - | 2,453 | 0.008 |
Miranda Curtis | 6,410 | 0.051 | - | - | 18,869 | 0.061 |
John W. Dick | 825 | 0.007 | - | - | 2,143 | 0.007 |
Michael T. Fries | 21,166(1) | 0.168 | 16,666(2) | 3.184 | 64,122(3) | 0.208 |
Paul A. Gould | 10,771(4) | 0.085 | 2,571 | 0.491 | 48,163(5) | 0.157 |
Richard R. Green | 363(6) | 0.003 | - | - | 894(7) | 0.003 |
John C. Malone | 54,523(8) | 0.432 | 439,368(9) | 83.941 | 650,694(10) | 2.115 |
David E. Rapley | 138 | 0.001 | - | - | 982 | 0.003 |
Larry E. Romrell | 1,223 | 0.010 | - | - | 3,067 | 0.010 |
J.C. Sparkman | 562 | 0.004 | - | - | 1,199 | 0.004 |
J. David Wargo | 947(11) | 0.007 | - | - | 2,786(12) | 0.009 |
Grand Total | 98,395 | 0.780 | 458,605 | 87.616 | 797,715 | 2.593 |
Notes
(1) Includes (a) 98 shares held by Liberty Global 401(k) Savings and Stock Ownership Plan and (b) 2,310 shares held by a trust managed by an independent trustee for the benefit of Mr. Fries' children and to which Mr. Fries retains the right to substitute the assets in the trust.
(2) Additionally, pursuant to a letter agreement dated as of February 13, 2014, among Michael T. Fries, Liberty Global plc's CEO and a director, Mr. Malone and the Malone Trust have agreed that, for so long as Mr. Fries is employed as a principal executive officer by Liberty Global plc or serving on its board of directors, (a) in the event the Malone Trust or any permitted transferee (as defined in the letter agreement) is not voting the LiLAC Class B ordinary shares owned by the Malone Trust, Mr. Fries will have the right to vote such LiLAC Class B ordinary shares and (b) in the event the Malone Trust or any permitted transferee determines to sell such LiLAC Class B ordinary shares, Mr. Fries (individually or through an entity he controls) will have an exclusive right to negotiate to purchase such shares, and if the parties fail to come to an agreement and the Malone Trust or any permitted transferee subsequently intends to enter into a sale transaction with a third party, Mr. Fries (or an entity controlled by him) will have a right to match the offer made by such third party.
(3) Includes (a) 653 shares held by Liberty Global 401(k) Savings and Stock Ownership Plan and (b) 14,168 shares held by a trust managed by an independent trustee for the benefit of Mr. Fries' children and to which Mr. Fries retains the right to substitute the assets in the trust.
(4) Includes 336 shares deferred.
(5) Includes 914 shares deferred.
(6) Includes 132 shares deferred.
(7) Includes 404 shares deferred.
(8) Includes (a) 4,515 shares held by Mr. Malone's spouse, as to which Mr. Malone disclaims beneficial ownership and (b) 2,400 shares held by two trusts managed by an independent trustee for the benefit of Mr. Malone's adult children and to which Mr. Malone retains the right to substitute the assets in the trusts.
(9) Includes (a) 433,861 shares held by the Malone Trust and (b) 5,507 shares held by two trusts managed by an independent trustee for the benefit of Mr. Malone's adult children and to which Mr. Malone retains the right to substitute the assets in the trusts. See also note 2 above.
(10) Includes (a) 34,002 shares held by Mr. Malone's spouse, as to which Mr. Malone disclaims beneficial ownership, (b) 375,861 shares held by the Malone Trust and (c) 14,222 shares held by two trusts managed by an independent trustee for the benefit of Mr. Malone's adult children and to which Mr. Malone retains the right to substitute the assets in the trusts. In addition, 110,000 shares are subject to a long-dated post-paid variable forward sale contract.
(11) Includes (a) 7 shares held by managed accounts, as to which Mr. Wargo disclaims beneficial ownership, and (b) 232 shares deferred.
(12) Includes (a) 1 share held by Mr. Wargo's spouse, as to which Mr. Wargo disclaims beneficial ownership, (b) 26 shares held in managed accounts, as to which Mr. Wargo disclaims beneficial ownership and (b) 619 shares deferred.
(c) Stock Options and Stock Appreciation Rights (SARs) over Liberty Global Class A ordinary shares of US$0.01 each held by the directors of Liberty Global plc
(i) Stock Options
Name | Grant Date | Expiration Date | Number of Options | Grant Price | Vesting |
Andrew J. Cole
| 06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
06/26/2014 | 06/26/2021 | 5,716 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,303 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John P. Cole, Jr.
| 06/22/2006 | 06/22/2016 | 5,250 | $10.15 | Fully Vested |
06/19/2007 | 06/19/2017 | 10,500 | $18.15 | Fully Vested | |
06/12/2008 | 06/12/2018 | 10,502 | $15.09 | Fully Vested | |
06/17/2009 | 06/17/2019 | 10,501 | $6.82 | Fully Vested | |
06/17/2010 | 06/17/2020 | 1,476 | $12.23 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,045 | $19.13 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,989 | $22.17 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 5,716 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,303 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Miranda Curtis
| 06/17/2010 | 06/17/2020 | 2,952 | $12.23 | Fully Vested |
06/21/2011 | 06/21/2021 | 1,045 | $19.13 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,989 | $22.17 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 5,716 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,303 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John W. Dick
| 06/19/2007 | 06/19/2017 | 10,500 | $18.15 | Fully Vested |
06/12/2008 | 06/12/2018 | 10,502 | $15.09 | Fully Vested | |
06/17/2009 | 06/17/2019 | 10,501 | $6.82 | Fully Vested | |
06/17/2010 | 06/17/2020 | 2,952 | $12.23 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,045 | $19.13 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,989 | $22.17 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 5,716 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,303 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Paul A. Gould
| 06/22/2006 | 06/22/2016 | 10,501 | $10.15 | Fully Vested |
06/19/2007 | 06/19/2017 | 10,500 | $18.15 | Fully Vested | |
06/12/2008 | 06/12/2018 | 5,251 | $15.09 | Fully Vested | |
06/17/2009 | 06/17/2019 | 5,250 | $6.82 | Fully Vested | |
06/17/2010 | 06/17/2020 | 1,476 | $12.23 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,045 | $19.13 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,989 | $22.17 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 5,716 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,303 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Richard R. Green
| 12/16/2008 | 12/16/2018 | 10,499 | $5.84 | Fully Vested |
06/17/2009 | 06/17/2019 | 10,501 | $6.82 | Fully Vested | |
06/17/2010 | 06/17/2020 | 2,952 | $12.23 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,045 | $19.13 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,989 | $22.17 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 5,716 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,303 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John C. Malone | 05/01/2013 | 05/01/2023 | 6,370 | $33.87 | The option will vest on May 1, 2016. |
05/01/2014 | 05/01/2021 | 20,802 | $37.22 | The option will vest in two equal annual instalments on May 1, 2016 and May 1, 2017. | |
05/01/2015 | 05/01/2022 | 26,067 | $48.31 | The option vests in three equal annual instalments commencing on May 1, 2016. | |
David E. Rapley
| 06/17/2009 | 06/17/2019 | 3,500 | $6.82 | Fully Vested |
06/17/2010 | 06/17/2020 | 983 | $12.23 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,045 | $19.13 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,989 | $22.17 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 2,858 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 2,152 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Larry E. Romrell
| 06/17/2010 | 06/17/2020 | 492 | $12.23 | Fully Vested |
06/21/2011 | 06/21/2021 | 697 | $19.13 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,989 | $22.17 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 5,716 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,303 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
J C. Sparkman
| 06/19/2007 | 06/19/2017 | 10,500 | $18.15 | Fully Vested |
06/12/2008 | 06/12/2018 | 10,502 | $15.09 | Fully Vested | |
06/17/2009 | 06/17/2019 | 5,250 | $6.82 | Fully Vested | |
06/17/2010 | 06/17/2020 | 1,476 | $12.23 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,045 | $19.13 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,989 | $22.17 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 2,858 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 2,152 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
J. David Wargo
| 06/22/2006 | 06/22/2016 | 10,501 | $10.15 | Fully Vested |
06/19/2007 | 06/19/2017 | 10,500 | $18.15 | Fully Vested | |
06/12/2008 | 06/12/2018 | 10,502 | $15.09 | Fully Vested | |
06/17/2009 | 06/17/2019 | 10,501 | $6.82 | Fully Vested | |
06/17/2010 | 06/17/2020 | 1,476 | $12.23 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,045 | $19.13 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,989 | $22.17 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,634 | $33.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 5,716 | $39.60 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,303 | $51.13 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
(ii) Stock Appreciation Rights (SARs)
Name | Grant Date | Expiration Date | Number of SARs | Grant Price | Vesting |
Michael T. Fries
| 05/01/2010 | 05/01/2017 | 71,370 | $12.57 | Fully Vested |
05/01/2011 | 05/01/2018 | 48,168 | $21.26 | Fully Vested | |
05/01/2012 | 05/01/2019 | 45,603 | $22.85 | The SARS provide for vesting of 12.5% of the shares on November 1, 2012, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2013. | |
05/01/2013 | 05/01/2020 | 42,988 | $33.87 | The SARS provide for vesting of 12.5% of the shares on November 1, 2013, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2014. | |
05/01/2014 | 05/01/2021 | 201,746 | $37.22 | The SARS provide for vesting of 12.5% of the shares on November 1, 2014, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2015. | |
05/01/2015 | 05/01/2022 | 157,121 | $48.31 | The SARS provide for vesting of 12.5% of the shares on November 1, 2015, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2016. |
(d) Stock Options and Stock Appreciation Rights (SARs) over Liberty Global Class C ordinary shares of US$0.01 each held by the directors of Liberty Global plc
(i) Stock Options
Name | Grant Date | Expiration Date | Number of Options | Grant Price | Vesting |
Andrew J. Cole
| 06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 11,379 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 8,548 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John P. Cole, Jr.
| 06/22/2006 | 06/22/2016 | 5,227 | $10.07 | Fully Vested |
06/22/2006 | 06/22/2016 | 10,454 | $9.84 | Fully Vested | |
06/19/2007 | 06/19/2017 | 10,456 | $18.02 | Fully Vested | |
06/19/2007 | 06/19/2017 | 20,905 | $17.10 | Fully Vested | |
06/12/2008 | 06/12/2018 | 10,453 | $14.97 | Fully Vested | |
06/12/2008 | 06/12/2018 | 20,905 | $14.31 | Fully Vested | |
06/17/2009 | 06/17/2019 | 10,454 | $6.77 | Fully Vested | |
06/17/2009 | 06/17/2019 | 20,908 | $6.76 | Fully Vested | |
06/17/2010 | 06/17/2020 | 1,470 | $12.15 | Fully Vested | |
06/17/2010 | 06/17/2020 | 2,937 | $12.22 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,041 | $18.98 | Fully Vested | |
06/21/2011 | 06/21/2021 | 2,166 | $18.33 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,981 | $22.00 | Fully Vested | |
06/19/2012 | 06/19/2022 | 4,098 | $21.38 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 11,379 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 8,548 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Miranda Curtis
| 06/17/2010 | 06/17/2020 | 2,940 | $12.15 | Fully Vested |
06/17/2010 | 06/17/2020 | 5,873 | $12.22 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,041 | $18.98 | Fully Vested | |
06/21/2011 | 06/21/2021 | 2,166 | $18.33 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,981 | $22.00 | Fully Vested | |
06/19/2012 | 06/19/2022 | 4,098 | $21.38 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 11,379 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 8,548 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John W. Dick | 06/22/2006 | 06/22/2016 | 10,454 | $10.07 | Fully Vested |
06/19/2007 | 06/19/2017 | 10,456 | $18.02 | Fully Vested | |
06/19/2007 | 06/19/2017 | 20,905 | $17.10 | Fully Vested | |
06/12/2008 | 06/12/2018 | 10,453 | $14.97 | Fully Vested | |
06/12/2008 | 06/12/2018 | 20,905 | $14.31 | Fully Vested | |
06/17/2009 | 06/17/2019 | 10,454 | $6.77 | Fully Vested | |
06/17/2009 | 06/17/2019 | 20,908 | $6.76 | Fully Vested | |
06/17/2010 | 06/17/2020 | 2,940 | $12.15 | Fully Vested | |
06/17/2010 | 06/17/2020 | 5,873 | $12.22 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,041 | $18.98 | Fully Vested | |
06/21/2011 | 06/21/2021 | 2,166 | $18.33 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,981 | $22.00 | Fully Vested | |
06/19/2012 | 06/19/2022 | 4,098 | $21.38 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 11,379 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 8,548 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Paul A. Gould
| 06/22/2006 | 06/22/2016 | 10,454 | $10.07 | Fully Vested |
06/22/2006 | 06/22/2016 | 20,908 | $9.84 | Fully Vested | |
06/19/2007 | 06/19/2017 | 10,456 | $18.02 | Fully Vested | |
06/19/2007 | 06/19/2017 | 20,905 | $17.10 | Fully Vested | |
06/12/2008 | 06/12/2018 | 5,226 | $14.97 | Fully Vested | |
06/12/2008 | 06/12/2018 | 10,452 | $14.31 | Fully Vested | |
06/17/2009 | 06/17/2019 | 5,227 | $6.77 | Fully Vested | |
06/17/2009 | 06/17/2019 | 10,454 | $6.76 | Fully Vested | |
06/17/2010 | 06/17/2020 | 1,470 | $12.15 | Fully Vested | |
06/17/2010 | 06/17/2020 | 2,937 | $12.22 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,041 | $18.98 | Fully Vested | |
06/21/2011 | 06/21/2021 | 2,166 | $18.33 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,981 | $22.00 | Fully Vested | |
06/19/2012 | 06/19/2022 | 4,098 | $21.38 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 11,379 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 8,548 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Richard R. Green
| 12/16/2008 | 12/16/2018 | 10,453 | $5.80 | Fully Vested |
12/16/2008 | 12/16/2018 | 20,908 | $5.52 | Fully Vested | |
06/17/2009 | 06/17/2019 | 10,454 | $6.77 | Fully Vested | |
06/17/2009 | 06/17/2019 | 20,908 | $6.76 | Fully Vested | |
06/17/2010 | 06/17/2020 | 2,940 | $12.15 | Fully Vested | |
06/17/2010 | 06/17/2020 | 5,873 | $12.22 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,041 | $18.98 | Fully Vested | |
06/21/2011 | 06/21/2021 | 2,166 | $18.33 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,981 | $22.00 | Fully Vested | |
06/19/2012 | 06/19/2022 | 4,098 | $21.38 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 11,379 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 8,548 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John C. Malone
| 05/01/2013 | 05/01/2023 | 6,340 | $33.59 | The option will vest on May 1, 2016. |
05/01/2013 | 05/01/2023 | 13,652 | $31.37 | The option will vest on May 1, 2016. | |
05/01/2014 | 05/01/2021 | 41,393 | $35.63 | The option will vest in two equal annual instalments on May 1, 2016 and May 1, 2017 | |
05/01/2015 | 05/01/2022 | 52,560 | $46.86 | The option vests in three equal annual instalments commencing on May 1, 2016. | |
David E. Rapley
| 06/17/2009 | 06/17/2019 | 3,484 | $6.77 | Fully Vested |
06/17/2009 | 06/17/2019 | 6,968 | $6.76 | Fully Vested | |
06/17/2010 | 06/17/2020 | 979 | $12.15 | Fully Vested | |
06/17/2010 | 06/17/2020 | 1,957 | $12.22 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,041 | $18.98 | Fully Vested | |
06/21/2011 | 06/21/2021 | 2,166 | $18.33 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,981 | $22.00 | Fully Vested | |
06/19/2012 | 06/19/2022 | 4,098 | $21.38 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 5,690 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,274 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Larry E. Romrell
| 06/17/2010 | 06/17/2020 | 490 | $12.15 | Fully Vested |
06/17/2010 | 06/17/2020 | 978 | $12.22 | Fully Vested | |
06/21/2011 | 06/21/2021 | 694 | $18.98 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,442 | $18.33 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,981 | $22.00 | Fully Vested | |
06/19/2012 | 06/19/2022 | 4,098 | $21.38 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 11,379 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 8,548 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
J C. Sparkman
| 06/19/2007 | 06/19/2017 | 10,456 | $18.02 | Fully Vested |
06/19/2007 | 06/19/2017 | 20,905 | $17.10 | Fully Vested | |
06/12/2008 | 06/12/2018 | 10,453 | $14.97 | Fully Vested | |
06/12/2008 | 06/12/2018 | 20,905 | $14.31 | Fully Vested | |
06/17/2009 | 06/17/2019 | 5,227 | $6.77 | Fully Vested | |
06/17/2009 | 06/17/2019 | 10,454 | $6.76 | Fully Vested | |
06/17/2010 | 06/17/2020 | 1,470 | $12.15 | Fully Vested | |
06/17/2010 | 06/17/2020 | 2,937 | $12.22 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,041 | $18.98 | Fully Vested | |
06/21/2011 | 06/21/2021 | 2,166 | $18.33 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,981 | $22.00 | Fully Vested | |
06/19/2012 | 06/19/2022 | 4,098 | $21.38 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 5,690 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 4,274 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
J. David Wargo
| 06/22/2006 | 06/22/2016 | 10,454 | $10.07 | Fully Vested |
06/22/2006 | 06/22/2016 | 20,908 | $9.84 | Fully Vested | |
06/19/2007 | 06/19/2017 | 10,456 | $18.02 | Fully Vested | |
06/19/2007 | 06/19/2017 | 20,905 | $17.10 | Fully Vested | |
06/12/2008 | 06/12/2018 | 10,453 | $14.97 | Fully Vested | |
06/12/2008 | 06/12/2018 | 20,905 | $14.31 | Fully Vested | |
06/17/2009 | 06/17/2019 | 10,454 | $6.77 | Fully Vested | |
06/17/2009 | 06/17/2019 | 20,908 | $6.76 | Fully Vested | |
06/17/2010 | 06/17/2020 | 1,470 | $12.15 | Fully Vested | |
06/17/2010 | 06/17/2020 | 2,937 | $12.22 | Fully Vested | |
06/21/2011 | 06/21/2021 | 1,041 | $18.98 | Fully Vested | |
06/21/2011 | 06/21/2021 | 2,166 | $18.33 | Fully Vested | |
06/19/2012 | 06/19/2022 | 1,981 | $22.00 | Fully Vested | |
06/19/2012 | 06/19/2022 | 4,098 | $21.38 | Fully Vested | |
06/28/2013 | 06/28/2020 | 4,614 | $33.33 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 9,985 | $30.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 11,379 | $38.23 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 8,548 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
(ii) Stock Appreciation Rights (SARs)
Name | Grant Date | Expiration Date | Number of SARs | Grant Price | Vesting |
Michael T. Fries
| 05/01/2010 | 05/01/2017 | 71,036 | $12.46 | Fully Vested |
05/01/2010 | 05/01/2017 | 142,107 | $12.35 | Fully Vested | |
05/01/2011 | 05/01/2018 | 47,962 | $21.09 | Fully Vested | |
05/01/2011 | 05/01/2018 | 95,916 | $20.24 | Fully Vested | |
05/01/2012 | 05/01/2019 | 45,401 | $22.67 | The SARS provide for vesting of 12.5% of the shares on November 1, 2012, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2013. | |
05/01/2012 | 05/01/2019 | 90,808 | $21.97 | The SARS provide for vesting of 12.5% of the shares on November 1, 2012, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2013. | |
05/01/2013 | 05/01/2020 | 42,788 | $33.59 | The SARS provide for vesting of 12.5% of the shares on November 1, 2013, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2014. | |
05/01/2013 | 05/01/2020 | 85,596 | $31.37 | The SARS provide for vesting of 12.5% of the shares on November 1, 2013, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2014. | |
05/01/2014 | 05/01/2021 | 401,446 | $35.63 | The SARS provide for vesting of 12.5% of the shares on November 1, 2014, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2015. | |
05/01/2015 | 05/01/2022 | 316,802 | $46.86 | The SARS provide for vesting of 12.5% of the shares on November 1, 2015, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2016. |
(e) Stock Options and Stock Appreciation Rights (SARs) over LiLAC Class A ordinary shares of US$0.01 each held by the directors of Liberty Global plc
(i) Stock Options
Name | Grant Date | Expiration Date | Number of Options | Grant Price | Vesting |
Andrew J. Cole | 06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
06/26/2014 | 06/26/2021 | 285 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 215 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John P. Cole, Jr.
| 06/22/2006 | 06/22/2016 | 262 | $9.56 | Fully Vested |
06/19/2007 | 06/19/2017 | 525 | $17.10 | Fully Vested | |
06/12/2008 | 06/12/2018 | 524 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 524 | $6.42 | Fully Vested | |
06/17/2010 | 06/17/2020 | 73 | $11.52 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.03 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $20.89 | Fully Vested | |
06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 285 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 215 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Miranda Curtis
| 06/17/2010 | 06/17/2020 | 147 | $11.52 | Fully Vested |
06/21/2011 | 06/21/2021 | 52 | $18.03 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $20.89 | Fully Vested | |
06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 285 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 215 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John W. Dick
| 06/19/2007 | 06/19/2017 | 525 | $17.10 | Fully Vested |
06/12/2008 | 06/12/2018 | 524 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 524 | $6.42 | Fully Vested | |
06/17/2010 | 06/17/2020 | 147 | $11.52 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.03 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $20.89 | Fully Vested | |
06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 285 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 215 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Paul A. Gould
| 06/22/2006 | 06/22/2016 | 525 | $9.56 | Fully Vested |
06/19/2007 | 06/19/2017 | 525 | $17.10 | Fully Vested | |
06/12/2008 | 06/12/2018 | 262 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 262 | $6.42 | Fully Vested | |
06/17/2010 | 06/17/2020 | 73 | $11.52 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.03 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $20.89 | Fully Vested | |
06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 285 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 215 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Richard R. Green
| 12/16/2008 | 12/16/2018 | 525 | $5.51 | Fully Vested |
06/17/2009 | 06/17/2019 | 524 | $6.42 | Fully Vested | |
06/17/2010 | 06/17/2020 | 147 | $11.52 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.03 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $20.89 | Fully Vested | |
06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 285 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 215 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John C. Malone | 05/01/2013 | 05/01/2023 | 318 | $31.91 | The option will vest on May 1, 2016. |
05/01/2014 | 05/01/2021 | 1,039 | $35.06 | The option will vest in two equal annual instalments on May 1, 2016 and May 1, 2017. | |
05/01/2015 | 05/01/2022 | 1,307 | $45.52 | The option vests in three equal annual instalments commencing on May 1, 2016. | |
David E. Rapley
| 06/17/2009 | 06/17/2019 | 174 | $6.42 | Fully Vested |
06/17/2010 | 06/17/2020 | 49 | $11.52 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.03 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $20.89 | Fully Vested | |
06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 142 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 107 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Larry E. Romrell
| 06/17/2010 | 06/17/2020 | 24 | $11.52 | Fully Vested |
06/21/2011 | 06/21/2021 | 34 | $18.03 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $20.89 | Fully Vested | |
06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 285 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 215 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
J C. Sparkman | 06/19/2007 | 06/19/2017 | 525 | $17.10 | Fully Vested |
06/12/2008 | 06/12/2018 | 524 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 262 | $6.42 | Fully Vested | |
06/17/2010 | 06/17/2020 | 73 | $11.52 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.03 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $20.89 | Fully Vested | |
06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 142 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 107 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
J. David Wargo
| 06/22/2006 | 06/22/2016 | 525 | $9.56 | Fully Vested |
06/19/2007 | 06/19/2017 | 525 | $17.10 | Fully Vested | |
06/12/2008 | 06/12/2018 | 524 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 524 | $6.42 | Fully Vested | |
06/17/2010 | 06/17/2020 | 73 | $11.52 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.03 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $20.89 | Fully Vested | |
06/28/2013 | 06/28/2020 | 231 | $31.65 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 285 | $37.31 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 215 | $48.17 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
(ii) Stock Appreciation Rights (SARs)
Name | Grant Date | Expiration Date | Number of SARs | Grant Price | Vesting |
Michael T. Fries
| 05/01/2010 | 05/01/2017 | 3,568 | $11.84 | Fully Vested |
05/01/2011 | 05/01/2018 | 2,408 | $20.03 | Fully Vested | |
05/01/2012 | 05/01/2019 | 2,280 | $21.53 | The SARS provide for vesting of 12.5% of the shares on November 1, 2012, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2013. | |
05/01/2013 | 05/01/2020 | 2,149 | $31.91 | The SARS provide for vesting of 12.5% of the shares on November 1, 2013, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2014. | |
05/01/2014 | 05/01/2021 | 10,082 | $35.06 | The SARS provide for vesting of 12.5% of the shares on November 1, 2014, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2015. | |
05/01/2015 | 05/01/2022 | 7,882 | $45.52 | The SARS provide for vesting of 12.5% of the shares on November 1, 2015, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2016. |
(f) Stock Options and Stock Appreciation Rights (SARs) over LiLAC Class C ordinary shares of US$0.01 each held by the directors of Liberty Global plc
(i) Stock Options
Name | Grant Date | Expiration Date | Number of Options | Grant Price | Vesting |
Andrew J. Cole
| 06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 568 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 426 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John P. Cole, Jr.
| 06/22/2006 | 06/22/2016 | 261 | $9.99 | Fully Vested |
06/22/2006 | 06/22/2016 | 522 | $9.77 | Fully Vested | |
06/19/2007 | 06/19/2017 | 522 | $17.88 | Fully Vested | |
06/19/2007 | 06/19/2017 | 1,045 | $16.98 | Fully Vested | |
06/12/2008 | 06/12/2018 | 522 | $14.86 | Fully Vested | |
06/12/2008 | 06/12/2018 | 1,045 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 522 | $6.72 | Fully Vested | |
06/17/2009 | 06/17/2019 | 1,045 | $6.71 | Fully Vested | |
06/17/2010 | 06/17/2020 | 73 | $12.06 | Fully Vested | |
06/17/2010 | 06/17/2020 | 146 | $12.13 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.84 | Fully Vested | |
06/21/2011 | 06/21/2021 | 108 | $18.19 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $21.84 | Fully Vested | |
06/19/2012 | 06/19/2022 | 204 | $21.22 | Fully Vested | |
06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 568 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 426 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Miranda Curtis
| 06/17/2010 | 06/17/2020 | 146 | $12.06 | Fully Vested |
06/17/2010 | 06/17/2020 | 293 | $12.13 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.84 | Fully Vested | |
06/21/2011 | 06/21/2021 | 108 | $18.19 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $21.84 | Fully Vested | |
06/19/2012 | 06/19/2022 | 204 | $21.22 | Fully Vested | |
06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 568 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 426 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John W. Dick
| 06/22/2006 | 06/22/2016 | 522 | $9.99 | Fully Vested |
06/19/2007 | 06/19/2017 | 522 | $17.88 | Fully Vested | |
06/19/2007 | 06/19/2017 | 1,045 | $16.98 | Fully Vested | |
06/12/2008 | 06/12/2018 | 522 | $14.86 | Fully Vested | |
06/12/2008 | 06/12/2018 | 1,045 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 522 | $6.72 | Fully Vested | |
06/17/2009 | 06/17/2019 | 1,045 | $6.71 | Fully Vested | |
06/17/2010 | 06/17/2020 | 146 | $12.06 | Fully Vested | |
06/17/2010 | 06/17/2020 | 293 | $12.13 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.84 | Fully Vested | |
06/21/2011 | 06/21/2021 | 108 | $18.19 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $21.84 | Fully Vested | |
06/19/2012 | 06/19/2022 | 204 | $21.22 | Fully Vested | |
06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 568 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 426 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Paul A. Gould
| 06/22/2006 | 06/22/2016 | 522 | $9.99 | Fully Vested |
06/22/2006 | 06/22/2016 | 1,045 | $9.77 | Fully Vested | |
06/19/2007 | 06/19/2017 | 522 | $17.88 | Fully Vested | |
06/19/2007 | 06/19/2017 | 1,045 | $16.98 | Fully Vested | |
06/12/2008 | 06/12/2018 | 261 | $14.86 | Fully Vested | |
06/12/2008 | 06/12/2018 | 522 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 261 | $6.72 | Fully Vested | |
06/17/2009 | 06/17/2019 | 522 | $6.71 | Fully Vested | |
06/17/2010 | 06/17/2020 | 73 | $12.06 | Fully Vested | |
06/17/2010 | 06/17/2020 | 146 | $12.13 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.84 | Fully Vested | |
06/21/2011 | 06/21/2021 | 108 | $18.19 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $21.84 | Fully Vested | |
06/19/2012 | 06/19/2022 | 204 | $21.22 | Fully Vested | |
06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 568 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 426 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Richard R. Green
| 12/16/2008 | 12/16/2018 | 522 | $5.76 | Fully Vested |
12/16/2008 | 12/16/2018 | 1,045 | $5.48 | Fully Vested | |
06/17/2009 | 06/17/2019 | 522 | $6.72 | Fully Vested | |
06/17/2009 | 06/17/2019 | 1,045 | $6.71 | Fully Vested | |
06/17/2010 | 06/17/2020 | 146 | $12.06 | Fully Vested | |
06/17/2010 | 06/17/2020 | 293 | $12.13 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.84 | Fully Vested | |
06/21/2011 | 06/21/2021 | 108 | $18.19 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $21.84 | Fully Vested | |
06/19/2012 | 06/19/2022 | 204 | $21.22 | Fully Vested | |
06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 568 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 426 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
John C. Malone | 05/01/2013 | 05/01/2023 | 317 | $33.35 | The option will vest on May 1, 2016. |
05/01/2013 | 05/01/2023 | 682 | $31.14 | The option will vest on May 1, 2016. | |
05/01/2014 | 05/01/2021 | 2,069 | $35.37 | The option will vest in two equal annual instalments on May 1, 2016 and May 1, 2017. | |
05/01/2015 | 05/01/2022 | 2,667 | $46.52 | The option vests in three equal annual instalments commencing on May 1, 2016. | |
David E. Rapley | 06/17/2009 | 06/17/2019 | 174 | $6.72 | Fully Vested |
06/17/2009 | 06/17/2019 | 348 | $6.71 | Fully Vested | |
06/17/2010 | 06/17/2020 | 48 | $12.06 | Fully Vested | |
06/17/2010 | 06/17/2020 | 97 | $12.13 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.84 | Fully Vested | |
06/21/2011 | 06/21/2021 | 108 | $18.19 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $21.84 | Fully Vested | |
06/19/2012 | 06/19/2022 | 204 | $21.22 | Fully Vested | |
06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 284 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 213 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
Larry E. Romrell
| 06/17/2010 | 06/17/2020 | 24 | $12.06 | Fully Vested |
06/17/2010 | 06/17/2020 | 48 | $12.13 | Fully Vested | |
06/21/2011 | 06/21/2021 | 34 | $18.84 | Fully Vested | |
06/21/2011 | 06/21/2021 | 72 | $18.19 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $21.84 | Fully Vested | |
06/19/2012 | 06/19/2022 | 204 | $21.22 | Fully Vested | |
06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 568 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 426 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
J C. Sparkman
| 06/19/2007 | 06/19/2017 | 522 | $17.88 | Fully Vested |
06/19/2007 | 06/19/2017 | 1,045 | $16.98 | Fully Vested | |
06/12/2008 | 06/12/2018 | 522 | $14.86 | Fully Vested | |
06/12/2008 | 06/12/2018 | 1,045 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 261 | $6.72 | Fully Vested | |
06/17/2009 | 06/17/2019 | 522 | $6.71 | Fully Vested | |
06/17/2010 | 06/17/2020 | 73 | $12.06 | Fully Vested | |
06/17/2010 | 06/17/2020 | 146 | $12.13 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.84 | Fully Vested | |
06/21/2011 | 06/21/2021 | 108 | $18.19 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $21.84 | Fully Vested | |
06/19/2012 | 06/19/2022 | 204 | $21.22 | Fully Vested | |
06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 284 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 213 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
J. David Wargo
| 06/22/2006 | 06/22/2016 | 522 | $9.99 | Fully Vested |
06/22/2006 | 06/22/2016 | 1,045 | $9.77 | Fully Vested | |
06/19/2007 | 06/19/2017 | 522 | $17.88 | Fully Vested | |
06/19/2007 | 06/19/2017 | 1,045 | $16.98 | Fully Vested | |
06/12/2008 | 06/12/2018 | 522 | $14.86 | Fully Vested | |
06/12/2008 | 06/12/2018 | 1,045 | $14.21 | Fully Vested | |
06/17/2009 | 06/17/2019 | 522 | $6.72 | Fully Vested | |
06/17/2009 | 06/17/2019 | 1,045 | $6.71 | Fully Vested | |
06/17/2010 | 06/17/2020 | 73 | $12.06 | Fully Vested | |
06/17/2010 | 06/17/2020 | 146 | $12.13 | Fully Vested | |
06/21/2011 | 06/21/2021 | 52 | $18.84 | Fully Vested | |
06/21/2011 | 06/21/2021 | 108 | $18.19 | Fully Vested | |
06/19/2012 | 06/19/2022 | 99 | $21.84 | Fully Vested | |
06/19/2012 | 06/19/2022 | 204 | $21.22 | Fully Vested | |
06/28/2013 | 06/28/2020 | 230 | $33.08 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/28/2013 | 06/28/2020 | 499 | $30.72 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2014 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/26/2014 | 06/26/2021 | 568 | $37.95 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2015 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. | |
06/25/2015 | 06/25/2022 | 426 | $47.89 | The option vests in three equal annual instalments commencing on the date of the Issuer's 2016 annual general meeting of shareholders and on the date of each annual general meeting of shareholders thereafter. |
(ii) Stock Appreciation Rights (SARs)
Name | Grant Date | Expiration Date | Number of SARs | Grant Price | Vesting |
Michael T. Fries
| 05/01/2010 | 05/01/2017 | 3,551 | $12.37 | Fully Vested |
05/01/2010 | 05/01/2017 | 7,105 | $12.26 | Fully Vested | |
05/01/2011 | 05/01/2018 | 2,397 | $20.93 | Fully Vested | |
05/01/2011 | 05/01/2018 | 4,795 | $20.09 | Fully Vested | |
05/01/2012 | 05/01/2019 | 2,270 | $22.51 | The SARS provide for vesting of 12.5% of the shares on November 1, 2012, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2013. | |
05/01/2012 | 05/01/2019 | 4,540 | $21.81 | The SARS provide for vesting of 12.5% of the shares on November 1, 2012, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2013. | |
05/01/2013 | 05/01/2020 | 2,140 | $33.35 | The SARS provide for vesting of 12.5% of the shares on November 1, 2013, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2014. | |
05/01/2013 | 05/01/2020 | 4,279 | $31.14 | The SARS provide for vesting of 12.5% of the shares on November 1, 2013, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2014. | |
05/01/2014 | 05/01/2021 | 20,072 | $35.37 | The SARS provide for vesting of 12.5% of the shares on November 1, 2014, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2015. | |
05/01/2015 | 05/01/2022 | 16,078 | $46.52 | The SARS provide for vesting of 12.5% of the shares on November 1, 2015, and the remaining shares in 14 equal quarterly instalments commencing February 1, 2016. |
(g) Liberty Global Performance Awards held by the directors of Liberty Global plc
Performance awards listed below includes additional shares that may be awarded based on performance criteria and shares issuable upon vesting or exercise of awards, as may be adjusted, upon achievement of performance criteria.
Name | Target Number of Shares of Class A PSUs | Target Number of Shares of Class C PSUs | Number of Target Class A PSARs | Base Price of Class A PSARs | Number of Target Class C PSARs | Base Price of Class C PSARs |
Michael T. Fries | 143,428 | 286,856 | 971,587 | $31.87 | 1,933,985 967,468 | $29.88 $31.61 |
(h) LiLAC Performance Awards held by the directors of Liberty Global plc
Performance awards listed below includes additional shares that may be awarded based on performance criteria and shares issuable upon vesting or exercise of awards, as may be adjusted, upon achievement of performance criteria.
Name | Target Number of Shares of Class A PSUs | Target Number of Shares of Class C PSUs | Number of Target Class A PSARs | Base Price of Class A PSARs | Number of Target Class C PSARs | Base Price of Class C PSARs |
Michael T. Fries | 7,170 | 14,342 | 48,562 | $30.02 | 96,687 48,343 | $29.66 $31.37 |
(i) Liberty Global Restricted Stock Units (RSUs) held by the directors of Liberty Global plc(1)
Name | Number of Shares of Class A Common Stock Issued on Settlement of RSUs | Number of Shares of Class B Common Stock Issued on Settlement of RSUs | Number of Shares of Class C Common Stock Issued on Settlement of RSUs | Vesting |
David E. Rapley | 579 | - | 1,158 | The RSUs vest on the date of the Issuer's 2016 annual general meeting of shareholders. |
J.C. Sparkman | 579 | - | 1,158 | The RSUs vest on the date of the Issuer's 2016 annual general meeting of shareholders. |
Michael T. Fries | 666,667 | 666,667 | - | The RSUs vest in two equal annual instalments on March 15, 2016 and 2017. |
Note
(1) Includes shares issuable upon vesting or exercise of awards noted above.
(j) LiLAC Restricted Stock Units (RSUs) held by the directors of Liberty Global plc(1)
Name | Number of Shares of Class A Common Stock Issued on Settlement of RSUs | Number of Shares of Class B Common Stock Issued on Settlement of RSUs | Number of Shares of Class C Common Stock Issued on Settlement of RSUs | Vesting |
David E. Rapley | 28 | - | 57 | The RSUs vest on the date of the Issuer's 2016 annual general meeting of shareholders. |
J.C. Sparkman | 28 | - | 57 | The RSUs vest on the date of the Issuer's 2016 annual general meeting of shareholders. |
Michael T. Fries | 33,333 | 33,333 | - | The RSUs vest in two equal annual installments on March 15, 2016 and 2017. |
Note
(1) Includes shares issuable upon vesting or exercise of awards noted above.
(k) Interest in Liberty Global plc ordinary shares and LiLAC ordinary shares held by the advisers of Liberty Global plc
(i) Goldman, Sachs & Co.
Class of relevant security:
| Liberty Global Class A ordinary shares of US$0.01 each | |||
Interests | Short positions | |||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 661,419 | 0.26 | 445,861 | 0.17 |
(2) Cash-settled derivatives: | 232,535 | 0.09 | 227,546 | 0.09 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 43,100 | 0.01 | 231,200 | 0.09 |
Total: | 937,054 | 0.36 | 904,607 | 0.35 |
Class of relevant security:
| Liberty Global Class B ordinary shares of US$0.01 each | |||
Interests | Short positions | |||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 0 | 0.00 | 102 | 0.00 |
(2) Cash-settled derivatives: | 0 | 0.00 | 0 | 0.00 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00 | 0 | 0.00 |
Total: | 0 | 0.00 | 102 | 0.00 |
Class of relevant security:
| Liberty Global Class C ordinary shares of US$0.01 each | |||
Interests | Short positions | |||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 332,412 | 0.05 | 171,615 | 0.02 |
(2) Cash-settled derivatives: | 0 | 0.00 | 41,298 | 0.00 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 178,700 | 0.02 | 188,400 | 0.03 |
Total: | 511,112 | 0.09 | 400,313 | 0.05 |
Class of relevant security:
| LiLAC Class A ordinary shares of US$0.01 each | |||
Interests | Short positions | |||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 10,378 | 0.08 | 8,330 | 0.06 |
(2) Cash-settled derivatives: | 124 | 0.00 | 5,114 | 0.04 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00 | 0 | 0.00 |
Total: | 10,502 | 0.08 | 13,444 | 0.10 |
Class of relevant security:
| LiLAC Class B ordinary shares of US$0.01 each | |||
Interests | Short positions | |||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 0 | 0.00 | 0 | 0.00 |
(2) Cash-settled derivatives: | 0 | 0.00 | 0 | 0.00 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00 | 0 | 0.00 |
Total: | 0 | 0.00 | 0 | 0.00 |
Class of relevant security:
| LiLAC Class C ordinary shares of US$0.01 each | |||
Interests | Short positions | |||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 173,793 | 0.56 | 9,314 | 0.03 |
(2) Cash-settled derivatives: | 0 | 0.00 | 374 | 0.00 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00 | 131,900 | 0.42 |
Total: | 173,793 | 0.56 | 141,588 | 0.46 |
(ii) Goldman Sachs Bank AG
Class of relevant security:
| Liberty Global Class A ordinary shares of US$0.01 each | |||
Interests | Short positions | |||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 7,537 | 0.00 | 0 | 0.00 |
(2) Cash-settled derivatives: | 0 | 0.00 | 0 | 0.00 |
(3) Stock-settled derivatives (including options) and agreements to purchase/sell: | 0 | 0.00 | 0 | 0.00 |
Total: | 7,537 | 0.00 | 0 | 0.00 |
Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the party to the offer making the disclosure or any person acting in concert with it: Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state "none" |
In relation to the Liberty Global Class B ordinary shares and the LiLAC Class B ordinary shares, pursuant to a letter agreement dated as of February 13, 2014, among Michael T. Fries, Liberty Global plc's CEO and a director, Mr. Malone and the Malone Trust have agreed that, for so long as Mr. Fries is employed as a principal executive officer by Liberty Global plc or serving on its board of directors, (a) in the event the Malone Trust or any permitted transferee (as defined in the letter agreement) is not voting the Liberty Global Class B ordinary shares and/ or LiLAC Class B ordinary shares owned by the Malone Trust, Mr. Fries will have the right to vote such Liberty Global Class B ordinary shares and/ or LiLAC Class B ordinary shares and (b) in the event the Malone Trust or any permitted transferee determines to sell such Liberty Global Class B ordinary shares and/ or LiLAC Class B ordinary shares, Mr. Fries (individually or through an entity he controls) will have an exclusive right to negotiate to purchase such shares, and if the parties fail to come to an agreement and the Malone Trust or any permitted transferee subsequently intends to enter into a sale transaction with a third party, Mr. Fries (or an entity controlled by him) will have a right to match the offer made by such third party.
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(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the party to the offer making the disclosure, or any person acting in concert with it, and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state "none" |
In relation to the Liberty Global Class C ordinary shares held by John C. Malone, 2,200,000 shares are subject to a long-dated post-paid variable forward sale contract.
In relation to the LiLAC Class C ordinary shares held by John C. Malone, 110,000 shares are subject to a long-dated post-paid variable forward sale contract.
Further details of Liberty Global plc's interests are detailed in Liberty Global plc's 2.10 Announcement dated 5 November 2015.
|
(c) Attachments
Are any Supplemental Forms attached?
Supplemental Form 8 (Open Positions) | YES
The Supplemental Form 8 (Open Positions) relates to open positions of the Offeror's concert parties.
In addition, for information regarding the open positions of the Offeror, please see the Rule 2.10 announcement published 5 November 2015.
|
Supplemental Form 8 (SBL) | NO |
| Date of disclosure: | 5 November 2015 |
| Contact name: | John Winter |
| Telephone number: | +1 303 220 6600 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected]. The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENT TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
1. KEY INFORMATION
Full name of person making disclosure: | Goldman, Sachs & Co. |
Name of offeror/offeree in relation to whose relevant securities disclosure relates: | Liberty Global plc |
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class of relevant security | Product description e.g. call option | Written or purchased | Number of securities to which option or derivative relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date |
Liberty Global Class A ordinary shares of US$0.01 each | Call Option^ | Purchased | 43,100 | 60.0000 USD | AMER | 15/01/2016 |
Call Option | Sold | 207,200 | 50.0000 USD | AMER | 15/01/2016 | |
Put Option^ | Purchased | 24,000 | 22.5000 USD | AMER | 15/01/2016 |
^Please note this product is part of a basket of securities for which LIBERTY GLOBAL PLC is a component
Class of relevant security | Product description e.g. call option | Written or purchased | Number of securities to which option or derivative relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date |
LiLAC Class C ordinary shares of US$0.01 each | Call Option | Sold | 131,900 | 30.0000 USD | AMER | 15/01/2016 |
Class of relevant security | Product description e.g. call option | Written or purchased | Number of securities to which option or derivative relates | Exercise price per unit | Type e.g. American, European etc. | Expiry date |
Liberty Global Class C ordinary shares of US$0.01 each | Call Option | Sold | 1,000 | 55.0000 USD | AMER | 15/04/2016 |
Call Option^ | Purchased | 1,000 | 60.0000 USD | AMER | 18/12/2015 | |
Call Option | Purchased | 1,000 | 65.0000 USD | AMER | 15/01/2016 | |
Call Option^ | Purchased | 1,000 | 65.0000 USD | AMER | 18/12/2015 | |
Call Option | Purchased | 1,100 | 60.0000 USD | AMER | 15/04/2016 | |
Call Option | Sold | 1,200 | 40.0000 USD | AMER | 20/11/2015 | |
Call Option | Purchased | 1,200 | 45.0000 USD | AMER | 20/11/2015 | |
Call Option^ | Purchased | 9,100 | 50.0000 USD | AMER | 18/12/2015 | |
Call Option^ | Purchased | 163,300 | 55.0000 USD | AMER | 18/12/2015 | |
Put Option | Purchased | 200 | 45.0000 USD | AMER | 20/11/2015 | |
Put Option^ | Purchased | 600 | 50.0000 USD | AMER | 18/12/2015 | |
Put Option^ | Sold | 1,000 | 45.0000 USD | AMER | 18/12/2015 | |
Put Option^ | Purchased | 2,100 | 25.0000 USD | AMER | 18/12/2015 | |
Put Option^ | Purchased | 2,100 | 30.0000 USD | AMER | 18/12/2015 | |
Put Option | Purchased | 2,100 | 45.0000 USD | AMER | 15/01/2016 | |
Put Option^ | Purchased | 178,100 | 35.0000 USD | AMER | 18/12/2015 |
^Please note this product is part of a basket of securities for which LIBERTY GLOBAL PLC is a component
3. AGREEMENTS TO PURCHASE OR SELL
Full details should be given so that the nature of the interest or position can be fully understood: |
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It is not necessary to provide details on a Supplement form (Open Positions) with regard to cash-settled derivatives.
The currency of all pieces and other monetary amounts should be stated.
The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
Related Shares:
CWC.L