FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Liberty Global, Inc. [ LBTY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/30/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Series A common stock | 09/30/2010 | M | 75,083 | A | $0(2) | 76,222 | D | |||
Series A common stock | 09/30/2010 | F(1) | 30,845 | D | $30.81 | 45,377 | D | |||
Series C common stock | 09/30/2010 | M | 72,579 | A | $0(2) | 73,736 | D | |||
Series C common stock | 09/30/2010 | F(1) | 29,816 | D | $30.56 | 43,920 | D | |||
Series A common stock | 09/30/2010 | M | 21,023 | A | $0(2) | 22,459(3) | I | By Spouse | ||
Series A common stock | 09/30/2010 | F(1) | 8,637 | D | $30.81 | 13,822(3) | I | By Spouse | ||
Series C common stock | 09/30/2010 | M | 20,322 | A | $0(2) | 21,758(3) | I | By Spouse | ||
Series C common stock | 09/30/2010 | F(1) | 8,349 | D | $30.56 | 13,409(3) | I | By Spouse | ||
Series A common stock | 510 | I | by 401(k) Plan | |||||||
Series C common stock | 3,779 | I | by 401(k) Plan | |||||||
Series A common stock | 1,551(3) | I | by 401(k) Plan for spouse | |||||||
Series C common stock | 4,879(3) | I | by 401(k) Plan for spouse |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Share Units | (2) | 09/30/2010 | M | 75,083 | (4) | (4) | Series A Common | 75,083 | $0 | 150,166 | D | ||||
Restricted Share Units | (2) | 09/30/2010 | M | 72,579 | (4) | (4) | Series C Common | 72,579 | $0 | 145,158 | D | ||||
Restricted Share Units | (2) | 09/30/2010 | M | 21,023 | (4) | (4) | Series A Common | 21,023 | $0 | 42,046(3) | I | By Spouse | |||
Restricted Share Units | (2) | 09/30/2010 | M | 20,322 | (4) | (4) | Series C Common | 20,322 | $0 | 40,644(3) | I | By Spouse |
Explanation of Responses: |
1. Stock withheld in payment of tax liability upon vesting of Restricted Share Units. |
2. Each Restricted Share Unit represents a right to receive one share of Issuer's Series A common stock or Series C common stock, as the case may be. |
3. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
4. The Restricted Share Units vest at 33.3% of the units on September 30, 2010 and the remaining units vest in two equal semi-annual installments on March 31, 2011 and September 30, 2011. |
Remarks: |
The trading symbols for the Issuer's Series A, Series B, and Series C common stock are LBTYA, LBTYB, and LBTYK, respectively. |
Michelle L. Keist, Attorney-in-Fact for Bernard G. Dvorak | 10/04/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |