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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MALONE JOHN C 12300 LIBERTY BOULEVARD ENGLEWOOD, CO 80112 |
X | X | Chairman of the Board |
/s/ Brittany A. Uthoff as Attorney-in-Fact for John C. Malone | 12/02/2021 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $27.08 to $27.88, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(2) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $60.15 to $60.26, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(3) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $59.160 to $60.145, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(4) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $27.69 to $28.09, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(5) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $26.67 to $27.64, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(6) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $27.25 to $28.21, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(7) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $48.17 to $48.43, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(8) | The number of shares held indirectly by the John C. Malone June 2003 Charitable Remainder Unitrust was decreased by 56,660 shares as a result of the distributions described in this Form 4. |
(9) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $47.17 to $48.16, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(10) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $48.75 to $49.56, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(11) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $47.74 to $48.72, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(12) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $49.10 to $50.05, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(13) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $48.09 to $49.07, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(14) | The price is a weighted average price. These shares were sold in multiple transactions ranging from $47.09 to $48.08, inclusive. The reporting person undertakes to provide to the Securities and Exchange Commission, the Issuer, or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. |
(15) | Includes 20 shares of Series C Liberty Braves common stock previously reported as held indirectly by a 401(k) savings plan for the benefit of the reporting person that were distributed to the reporting person and are now owned directly. |
(16) | Includes 236 shares of Series C Liberty SiriusXM common stock previously reported as held indirectly by a 401(k) savings plan for the benefit of the reporting person and 28,330 shares of Series C Liberty SiriusXM common stock previously reported as held indirectly by the John C. Malone June 2003 Charitable Remainder Unitrust that were distributed to the reporting person and are now owned directly. |
(17) | The reporting person disclaims beneficial ownership of these shares. |
(18) | Includes 28,330 shares of Series C Liberty SiriusXM common stock previously reported as held indirectly by the John C. Malone June 2003 Charitable Remainder Unitrust that were distributed to the Leslie A. Malone 1995 Revocable Trust. |