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Sec Form 4 Filing - Nair Balan @ Liberty Latin America Ltd. - 2021-03-15

  1. About Form 4 Filing: Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.
  2. Form 4 is stored in SEC's EDGAR database. EDGAR is Electronic Data Gathering, Analysis and Retrieval System. It is a registered trademark of the SEC.

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The following is an SEC EDGAR document rendered as filed.
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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).
Washington, D.C. 20549
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person *
Nair Balan
2. Issuer Name and Ticker or Trading Symbol
Liberty Latin America Ltd. [ LILA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
President and CEO
3. Date of Earliest Transaction (MM/DD/YY)
4. If Amendment, Date Original Filed (MM/DD/YY)
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 Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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
Class A Common Shares 03/15/2021 A 53,524 ( 1 ) A $ 0 ( 1 ) 340,312 D
Class A Common Shares 03/15/2021 F 16,176 D $ 14.445 324,136 D
Class C Common Shares 03/15/2021 A 107,048 ( 1 ) A $ 0 ( 1 ) 701,871 D
Class C Common Shares 03/15/2021 F 46,996 D $ 14.5 654,875 D
Class C Common Shares 03/16/2021 S 77,500 D $ 14.1387 ( 2 ) 577,375 D
Class C Common Shares 4,938 I By 401(k) Plan
Class C Common Shares 1,139 I By IRA
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Share Units A ( 3 ) 03/15/2021 A 6,691 ( 4 ) ( 4 ) Class A Common Shares 6,691 ( 3 ) 6,691 D
Restricted Share Units C ( 3 ) 03/15/2021 A 13,382 ( 4 ) ( 4 ) Class C Common Shares 13,382 ( 3 ) 13,382 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Nair Balan
X President and CEO
/s/ John M. Winter, Attorney-in-Fact 03/17/2021
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )The Issuer's annual performance award program includes a shareholder incentive program that allows participants, including the Reporting Person, to receive up to 100% of their annual performance awards in common shares of the Issuer in lieu of cash; thereby, aligning our employees' interests and our shareholders. These shares represent the Reporting Person's election to receive such common shares in respect of his 2020 annual performance award (the Bonus Shares).
( 2 )The price reflects a weighted average of sales made at prices ranging from $13.995 to $14.36. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, information regarding the number of shares purchased at each separate price.
( 3 )Each Restricted Share Unit represents a right to receive one share of the Issuer's Class A common shares or Class C common shares, as the case may be, at settlement.
( 4 )Based on the Reporting Person's share election described in footnote 1, the Reporting Person also received RSUs equal to 12.5% of the Bonus Shares pursuant to the shareholder incentive program of the 2019 annual performance award program. These RSUs will vest in full on March 1, 2022, provided that the Reporting Person does not sell, transfer or otherwise dispose of the Bonus Shares through such date.

The trading symbols for the Issuer's classes of common shares are LILA, LILAB, and LILAK.

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.