LIBERTY GLOBAL, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-05-01: Reporting owner Nair Balan; Form 4; Security Stock Appreciation Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-05-01: Reporting owner Nair Balan; Form 4; Security Stock Appreciation Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-05-01: Reporting owner DVORAK BERNARD G; Form 4; Security Stock Appreciation Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-05-01: Reporting owner DVORAK BERNARD G; Form 4; Security Stock Appreciation Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-05-01 | Nair Balan Officer (EVP & CTO) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,000 38,000 owned after | $49.99 exercise price | 2012-05-03 | |
| 2012-05-01 | Nair Balan Officer (EVP & CTO) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,000 38,000 owned after | $48.20 exercise price | 2012-05-03 | |
| 2012-05-01 | DVORAK BERNARD G Officer (EVP & Co-CFO) | 4 | Stock Appreciation Rights Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,000 38,000 owned after | $49.99 exercise price | 2012-05-03 | |
| 2012-05-01 | DVORAK BERNARD G Officer (EVP & Co-CFO) | 4 | Stock Appreciation Rights Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,000 38,000 owned after | $48.20 exercise price | 2012-05-03 | |
| 2012-05-01 | DVORAK BERNARD G Officer (EVP & Co-CFO) | 4 | Stock Appreciation Rights Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,864 10,864 owned after | $49.99 exercise price | 2012-05-03 | |
| 2012-05-01 | DVORAK BERNARD G Officer (EVP & Co-CFO) | 4 | Stock Appreciation Rights Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,864 10,864 owned after | $48.20 exercise price | 2012-05-03 | |
| 2012-05-01 | BRACKEN CHARLES H R Officer (EVP & Co-CFO) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,000 38,000 owned after | $49.99 exercise price | 2012-05-03 | |
| 2012-05-01 | BRACKEN CHARLES H R Officer (EVP & Co-CFO) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,000 38,000 owned after | $48.20 exercise price | 2012-05-03 | |
| 2012-05-01 | HALL BRYAN H Officer (EVP & General Counsel) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,712 21,712 owned after | $49.99 exercise price | 2012-05-03 | |
| 2012-05-01 | HALL BRYAN H Officer (EVP & General Counsel) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,712 21,712 owned after | $48.20 exercise price | 2012-05-03 | |
| 2012-05-01 | FRIES MICHAEL T Director, Officer (President & CEO) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +86,864 86,864 owned after | $49.99 exercise price | 2012-05-03 | |
| 2012-05-01 | FRIES MICHAEL T Director, Officer (President & CEO) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +86,864 86,864 owned after | $48.20 exercise price | 2012-05-03 | |
| 2012-05-01 | Karsten Diederik Officer (E.V.P., European BB Ops) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,000 38,000 owned after | $49.99 exercise price | 2012-05-03 | |
| 2012-05-01 | Karsten Diederik Officer (E.V.P., European BB Ops) | 4 | Stock Appreciation Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,000 38,000 owned after | $48.20 exercise price | 2012-05-03 | |
| 2012-03-23 | BRACKEN CHARLES H R Officer (EVP & Co-CFO) | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,563 0 owned after | $24.02 exercise price | 2012-03-27 | |
| 2012-03-23 | BRACKEN CHARLES H R Officer (EVP & Co-CFO) | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,563 0 owned after | $22.73 exercise price | 2012-03-27 | |
| 2012-03-21 | Karsten Diederik Officer (E.V.P., European BB Ops) | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,750 7,750 owned after | $16.70 exercise price | 2012-03-23 | |
| 2012-03-21 | Karsten Diederik Officer (E.V.P., European BB Ops) | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,953 6,954 owned after | $14.73 exercise price | 2012-03-23 | |
| 2012-03-21 | Karsten Diederik Officer (E.V.P., European BB Ops) | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,750 7,750 owned after | $16.55 exercise price | 2012-03-23 | |
| 2012-03-21 | Karsten Diederik Officer (E.V.P., European BB Ops) | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,953 6,954 owned after | $14.50 exercise price | 2012-03-23 | |
| 2012-01-05 | CURTIS MIRANDA Director | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,750 0 owned after | $20.48 exercise price | 2012-01-09 | |
| 2012-01-05 | CURTIS MIRANDA Director | 4 | Stock Appreciation Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,750 0 owned after | $19.92 exercise price | 2012-01-09 |