0001127602-13-019833.txt : 20130607
0001127602-13-019833.hdr.sgml : 20130607
20130607170223
ACCESSION NUMBER: 0001127602-13-019833
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130607
FILED AS OF DATE: 20130607
DATE AS OF CHANGE: 20130607
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Liberty Global, Inc.
CENTRAL INDEX KEY: 0001316631
STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841]
IRS NUMBER: 202197030
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 12300 LIBERTY BOULEVARD
CITY: ENGLEWOOD
STATE: CO
ZIP: 80112
BUSINESS PHONE: 303 220 6600
MAIL ADDRESS:
STREET 1: 12300 LIBERTY BOULEVARD
CITY: ENGLEWOOD
STATE: CO
ZIP: 80112
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MALONE JOHN C
CENTRAL INDEX KEY: 0000937797
STATE OF INCORPORATION: CO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51360
FILM NUMBER: 13901335
MAIL ADDRESS:
STREET 1: 12300 LIBERTY BLVD
CITY: ENGLEWOOD
STATE: CO
ZIP: 80112
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2013-06-07
0001316631
Liberty Global, Inc.
LBTY
0000937797
MALONE JOHN C
12300 LIBERTY BLVD.
ENGLEWOOD
CO
80112
1
1
1
Chairman of the Board
Series A Common Stock
2013-06-07
4
D
0
952177
D
0
D
Series A Common Stock
2013-06-07
4
D
0
90303
D
0
I
By Spouse
Series C Common Stock
2013-06-07
4
D
0
2596009
D
0
D
Series C Common Stock
2013-06-07
4
D
0
294869
D
0
I
By Spouse
Series B Common Stock
2013-06-07
4
D
0
8677225
D
0
I
By Trust
Stock Option A (right to buy)
35.78
2013-06-07
4
D
0
27323
0
D
2020-12-16
Series A Common Stock
27323
0
D
Stock Option A (right to buy)
46.50
2013-06-07
4
D
0
22141
0
D
2021-05-01
Series A Common Stock
22141
0
D
Stock Option A (right to buy)
49.99
2013-06-07
4
D
0
24104
0
D
2022-05-01
Series A Common Stock
24104
0
D
Stock Option A (right to buy)
74.08
2013-06-07
4
D
0
18194
0
D
2023-05-01
Series A Common Stock
18194
0
D
Stock Option C (right to buy)
33.93
2013-06-07
4
D
0
28819
0
D
2020-12-16
Series C Common Stock
28819
0
D
Stock Option C (right to buy)
44.39
2013-06-07
4
D
0
23194
0
D
2021-05-01
Series C Common Stock
23194
0
D
Stock Option C (right to buy)
48.20
2013-06-07
4
D
0
24999
0
D
2022-05-01
Series C Common Stock
24999
0
D
Stock Option C (right to buy)
68.82
2013-06-07
4
D
0
19584
0
D
2023-05-01
Series C Common Stock
19584
0
D
Forward sale contract (obligation to sell)
2013-06-07
4
D
0
1
0
D
Series C Common Stock
1100000
0
D
Disposed of in exchange for shares of a new parent company, Liberty Global plc, upon consummation of the combination of the Liberty Global, Inc. and Virgin Media Inc. under Liberty Global plc pursuant to that certain agreement and plan of merger dated as of February 5, 2013, as amended, at an exchange rate of one ordinary share of the corresponding class of Liberty Global plc ordinary shares for each share of Liberty Global, Inc. Series A, Series B and Series C common stock.
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.
The Reporting Person and his spouse transferred their Series B common stock to a charitable remainder unitrust of which the Reporting Person is sole trustee and, together with his spouse, retain a unitrust interest in the trust.
The option was assumed by Liberty Global plc and vests in three equal annual installments commencing on December 16, 2011.
The option was assumed by Liberty Global plc and vests in three equal annual installments commencing on May 1, 2012.
The option was assumed by Liberty Global plc and vests in three equal annual installments commencing on May 1, 2013.
The option was assumed by Liberty Global plc and vests in three equal annual installments commencing on May 1, 2014.
The Reporting Person entered into a long-dated post-paid variable forward sale contract with an unaffiliated counterparty relating to a maximum of 1,100,000 shares of Liberty Global Inc.'s Series C common stock, divided into 20 equal components that mature on sequential trading days over the period beginning on August 17, 2017 and ending on September 14, 2017.
The trading symbols for the Liberty Global, Inc.'s Series A, Series B and Series C ordinary shares are, respectively, LBTYA, LBTYB and LBTYK. The disposition of the referenced securities of Liberty Global, Inc. by the Reporting Person was made as a result of the business combination of Liberty Global, Inc. and Virgin Media Inc. with wholly-owned subsidiaries of the Liberty Global plc, which mergers were consummated on June 7, 2013, prior to the filing date for the Current Report on Form 8-K filed by the Liberty Global, Inc. reporting such mergers. The disposition of all such securities by the Reporting Person was approved and exempted pursuant to Rule 16b-3 under the Securities Exchange Act of 1934.
Michelle L. Keist, attorney-in-fact
2013-06-07