SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person*
Nair Balan

(Last) (First) (Middle)
38 HANS CRESCENT

(Street)
LONDON X0

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/07/2013
3. Issuer Name and Ticker or Trading Symbol
Liberty Global plc [ LBTY ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP & CTO
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Ordinary Shares 73,279 D
Class C Ordinary Shares 87,376 D
Class C Ordinary Shares 2,684 I By 401(k) Plan
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Share Units C (1) (1) Class C Ordinary Shares 703 (1) D
Stock Appreciation Rights A (2) 05/01/2017 Class A Ordinary Shares 25,488 $27.48 D
Stock Appreciation Rights A (3) 05/01/2018 Class A Ordinary Shares 40,128 $46.5 D
Stock Appreciation Rights A (4) 05/01/2019 Class A Ordinary Shares 38,000 $49.99 D
Stock Appreciation Rights A (5) 05/01/2020 Class A Ordinary Shares 35,808 $74.08 D
Stock Appreciation Rights C (2) 05/01/2017 Class C Ordinary Shares 25,488 $27.08 D
Stock Appreciation Rights C (3) 05/01/2018 Class C Ordinary Shares 40,128 $44.39 D
Stock Appreciation Rights C (4) 05/01/2019 Class C Ordinary Shares 38,000 $48.2 D
Stock Appreciation Rights C (5) 05/01/2020 Class C Ordinary Shares 35,808 $68.82 D
Stock Option A (right to buy) (6) 07/16/2014 Class A Ordinary Shares 37,500 $44.09 D
Stock Option C (right to buy) (6) 07/16/2014 Class C Ordinary Shares 37,500 $42.37 D
Explanation of Responses:
1. Each Restricted Share Unit, which vests on September 30, 2013, represents a right to receive one share of Issuer's Class A ordinary shares or Class C ordinary shares, as the case may be.
2. The SARs provide for vesting of 12.5% of the shares on November 1, 2010, and the remaining shares in 14 equal quarterly installments commencing February 1, 2011.
3. The SARs provide for vesting of 12.5% of the shares on November 1, 2011, and the remaining shares in 14 equal quarterly installments commencing February 1, 2012.
4. The SARs provide for vesting of 12.5% of the shares on November 1, 2012, and the remaining shares in 14 equal quarterly installments commencing February 1, 2013.
5. The SARs provide for vesting of 12.5% of the shares on November 1, 2013, and the remaining shares in 14 equal quarterly installments commencing February 1, 2014.
6. The option is immediately exercisable.
Remarks:
The trading symbols for the Issuer's Class A, Class B and Class C ordinary shares are, respectively, LBTYA, LBTYB and LBTYK. The referenced securities were all received by the Reporting Person in exchange for securities of Liberty Global, Inc. (LGI) and/or Virgin Media Inc. (VMI) as a result of the business combination transaction (the Mergers) between LGI and VMI pursuant to which such companies became wholly-owned subsidiaries of the Issuer. The Mergers were completed on June 7, 2013. The acquisition 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 06/17/2013
** 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 5 (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.