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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/01/2011 |
3. Issuer Name and Ticker or Trading Symbol
Liberty Global, Inc. [ LBTY ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 | (1) | (1) | Series A Common | 775 | (2) | D | |
Restricted Share Units | (1) | (1) | Series C Common | 775 | (2) | D | |
Restricted Share Units | (3) | (3) | Series A Common | 2,288 | (2) | D | |
Restricted Share Units | (3) | (3) | Series C Common | 2,288 | (2) | D | |
Restricted Share Units | (4) | (4) | Series A Common | 6,000 | (2) | D | |
Restricted Share Units | (4) | (4) | Series C Common | 6,000 | (2) | D | |
Restricted Share Units | (5) | (5) | Series A Common | 30,032 | (2) | D | |
Restricted Share Units | (5) | (5) | Series C Common | 29,030 | (2) | D | |
Stock Appreciation Rights | (6) | 05/01/2016 | Series A Common | 15,500 | $16.7 | D | |
Stock Appreciation Rights | (6) | 05/01/2016 | Series C Common | 15,500 | $16.55 | D | |
Stock Appreciation Rights | (6) | 05/01/2016 | Series A Common | 13,907 | $14.73 | D | |
Stock Appreciation Rights | (6) | 05/01/2016 | Series C Common | 13,907 | $14.5 | D | |
Stock Appreciation Rights | (7) | 05/01/2017 | Series A Common | 18,578 | $27.48 | D | |
Stock Appreciation Rights | (7) | 05/01/2017 | Series C Common | 18,578 | $27.08 | D |
Explanation of Responses: |
1. The Restricted Share Units vest in 2 equal quarterly installments commencing February 2, 2011. |
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 Restricted Share Units vest in 6 equal quarterly installments commencing February 1, 2011. |
4. The Restricted Share Units vest in 10 equal quarterly installments commencing February 1, 2011. |
5. The Restricted Share Units vest in two equal semi-annual installments on March 31, 2011 and September 30, 2011. |
6. The SARs provide for vesting of the shares in 10 equal quarterly installments commencing February 1, 2011. |
7. The SARs provide for vesting of the shares in 14 equal quarterly installments commencing February 1, 2011. |
Remarks: |
The trading symbols for the Issuer's Series A, Series B, and Series C Common Stock are LBTYA, LBTYB and LBTYK, respectively. |
Diederik Karsten | 01/04/2011 | |
** 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. |