ernest l. cu - globe telecom · arcur( of s4uritbs owed at end c,f 4 owrship form: direct (d) tr...

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COVER SHETT Nuxnber P w 0 0 0 0 1 1 ? ? s t- s B T E L r c o M I I Nlc {Sompant'a FultNarne} T H E G L o B E T o w E R 3 2 }'l B s T n t E T c o R N E R ? T H Y E tl u E B o l-l I F A c I 0 0 L 0 8 A L c I T Y T A G U I G Busine ss Address : No, $treet ei$lTor*nfProvince ilrARr$ALVH CIOC$OH-CO Co*tact Ferann 23-B FORtt{ TYpE $*c*r'rdary License Typs. l{ Ap${cabls 797428S ecrnpany/Teleporis Number il!onth Msrrlh 0ay Sepl- Requiri*g lhis Doc Ifrtal He. *f ${oclhsldere Dsy Arnended Articlea Nurnbsrl$sc*hn Tst*l Arnount 0f Dom**lic F*rei6n 3 t 0 4 2 3 I 2 R D M 5 Tc be accompltrhed by SEC Por*onnel conc*rned Fiie I'lurnher LCU Document LO. srAh'lP$ Csshler &*msrks - pl*, rr$s btrack ink firr aeartning Purpo$B$

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Page 1: Ernest L. Cu - Globe Telecom · Arcur( of S4uritbs OwEd at End c,f 4 Owrship Form: Direct (D) tr lndirect (l ) ' i. |.ldwe c, lndtect BerEfbbl Swrsht) v" Number of ShaE Amoud (A)

COVER SHETT

NuxnberP w 0 0 0 0 1 1 ? ?

s t- s B T E L r c o M I I Nlc

{Sompant'a FultNarne}

T H E G L o B E T o w E R

3 2 }'l B s T n t E T c o R N E R ? T H

Y E tl u E B o l-l I F A c I 0

0 L 0 8 A L c I T Y T A G U I GBusine ss Address : No, $treet ei$lTor*nfProvince

ilrARr$ALVH CIOC$OH-COCo*tact Ferann

23-BFORtt{ TYpE

$*c*r'rdary License Typs. l{ Ap${cabls

797428Secrnpany/Teleporis Number

il!onthMsrrlh 0ay

Sepl- Requiri*g lhis Doc

Ifrtal He. *f ${oclhsldere

Dsy

Arnended Articlea Nurnbsrl$sc*hn

Tst*l Arnount 0f

Dom**lic F*rei6n

3 t 0 4 2 3I 2

R DM 5

Tc be accompltrhed by SEC Por*onnel conc*rned

Fiie I'lurnher LCU

Document LO.

srAh'lP$

Csshler

&*msrks - pl*, rr$s btrack ink firr aeartning Purpo$B$

Page 2: Ernest L. Cu - Globe Telecom · Arcur( of S4uritbs OwEd at End c,f 4 Owrship Form: Direct (D) tr lndirect (l ) ' i. |.ldwe c, lndtect BerEfbbl Swrsht) v" Number of ShaE Amoud (A)

COVER $HEHTP w 0 0 0 o 1 1 7 7

\, L 0 B T F t E c o Itl t I Nlc

{Comp*ny'r FullName}

T H E o L o & E 1 0 YU E R

, 2 }T B $ T R E E T e o & N E n T T lt

A V E H u E B 0 H I r A c I o

G L o g A L c I T Y T A IJ u G

B usiaess Addrers: Ho. Strsel Crty/Iov,n#rwinca

ilr"ARrsAwE CIOC$ON.CO0ontsd Ferson Oom pany/Telapqne tlurnbcr

Month Day

S.rnend8.d Arlicles Numba#$eciiun

T Anrount af

S*rne*tie Forxlgn

tol*nth oay

Dept. Requiring lhis *cc.

Totnl l'{n- sl $tn*}h0}d6rs

23-BrORM TYPE

Soco,ndary Lioen*e Typr, li Apdicsbl*

0 4 2 31 2 3 t

U G F D

Tp bp accomplithod by $EC Per*o*nsl concemed

Fii* Numb*r LCU

Oocument l.D.

STAi.tPS

Cxshlsr

Itefitsrk* - pls. rjce btach ink for sca*ni*g purpases

Page 3: Ernest L. Cu - Globe Telecom · Arcur( of S4uritbs OwEd at End c,f 4 Owrship Form: Direct (D) tr lndirect (l ) ' i. |.ldwe c, lndtect BerEfbbl Swrsht) v" Number of ShaE Amoud (A)

@Gbbe la-

GLobe Tetecom, lnc.The Gtobe Tower32nd Street corner 7th Avenue,Bonifacio GLobaL City,Taguig, PhiLippines 1 634

\ +632.7972000

$ www.gLobe.com.ph

19 March 2019

SECURITIES AND EXCHANGE COMMISSIONG/F Secretariat Building, PICC ComplexRoxas Boulevard, PasaY CitY

Attention Mr. Vicente Graciano P. Felizmenio' Jr.Director, Markets and Securities Regulation Department

Atty. Rachel Esther J. Gumtang'RemalanteOfficer-ln-Charge, Corporate Governance and Finance Department

Gentlemen:

We submit to your good offices the SEC Form 23-B (Statement of Changes in Beneficial Ownership of Securities)of our president and Chief Executive Officer (CEO), Mr. Ernest L. Cu. The changes shall also be reflected in our

relevant reports in accordance with pertinent disclosure rules and regulations.

Thank you very much.

Very truly yours,

ATTY.Senior

ctocsoN-coPresident - Law and ComPliance,

Chief pliance Officer and Assistant Corporate Secretary

THE PHILTPPINE STOCK EXCHANGE, INC.6/F PSE Tower, Sth Avenue corner 28th Street,Bonifacio Global CitY, Taguig CitY

Attention: Ms. Janet A. EncarnacionHead, Disclosure DePartment

PHILIPPINE DEALING AND EXCHANGE CORPORATION37/F Tower 1, The EnterPrise Center,6766 Ayala Avenue corner Paseo de Roxas, Makati City

Attention: Atty. Joseph B. EvangelistaHead - lssuer Compliance and Disclosure Department (ICDD)

cc

Page 4: Ernest L. Cu - Globe Telecom · Arcur( of S4uritbs OwEd at End c,f 4 Owrship Form: Direct (D) tr lndirect (l ) ' i. |.ldwe c, lndtect BerEfbbl Swrsht) v" Number of ShaE Amoud (A)

,

FORM 23-B

SECURITIES AND EXCHANGE COMMISSIONMebo Manila, Philippines

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURTTIESFiled pu6Ed to Secth 23 c, the Seurties Regubtir CodeClEk box if rc brEer sutrject

to flrE requiremer(

Remioder Repod m a sep€rale lire for €ch class ol equily s€urlbs berEf bially Med di4tty tr hdirelly(1) A prson is directv or indirectly tfE bereficblrer of aoy equity seuriy wah respect to which he ttss or shars:

(A) Voting priler srrich irch.rdes tlE porer to vote, q to did the votirg of, sEh security: ardd(B) lnveslrent porer which hc[rdes tfE porer to disr6e of . or to direct the dbposhon of , such surity

(2) A per$n wil! be demed to lEve an indkd berefbbliilerGt in any equity srcudy shich is

{A) lEld by nEmtErs of a FE6ons immedbte famUy sharirE tt€ same l66ehold;(B) l€ld by a pa(rershD h vibh srch peMn b a gere€l E(rer;(C) held by a orF)ratbn of which such person is a @ntrollirE sharelE&r; or

{O) suticcl to af,y coniracl. arrarEereil or underslanding which gves such prson volir! paer or investmed poiler wldh rEpect to srch security

(Prix or Type RespoG6)

lf the change in beneficial ownership is 50% of the previous strareholdings or is equal to 5% of the outstandingcapital stock of the issuer, provide the disclosure requirements set forth on pa(p 3 of this form. ,

ec vraltJ s -r..i 1,,';r1 \

xcraang€or-masaion f iilLl

Ilactrorl. l..6rla trrr.tra.nl Dlvl.l.tII

'. Mme and Address of Reponir! Persn

CU ERNEST LAWRENCE LIM

2 lssrer Mme and TcdirE Symbol

GLOBE TELECOM, rNC. (GLO)

ReEtorehp ot Repof,rE Person to lss@r(CtEk ail apdiEble)

DiEtorOff ber

(give ttle *w)

1ff/o OwHOl her

(specty beb'e)

Director, President and Chief Exectrtive Officer (CEO)

(Esr) (r rsr ) (Mfte)

The Globe Tower, 32nd Stree{ comer 7th Avenue

3. | il l&ntr@tonNumber

fiGn7)-836

5. staeref, lqMmtty'Y€r

March 2019

(Stret)

Bonifacio Global City, Taguig

4. CitizerehD

FILIPINO

i. lf Anerdrert, Date cfOrbiEl (Mor(hYea4

(Lly) (Provr@) (Hcrar@)Table 1 - Equity Securities Beneficially Oilned

i Cbss of Equty Seurity 2. TransacibnDate

(Monlh/Day/Y€0

{. Seurities Acquired (A) tr Disposed c{ (D) 3. Arcur( of S4uritbs OwEd at End c,f 4 Owrship Form:Direct (D) tr lndirect (l ) '

i. |.ldwe c, lndtect BerEfbblSwrsht)

v" Number of ShaEAmoud (A) tr (O) Prbe

COMMON(Beginning Balance)

1 00,853D - 22,309| - 78,544 lodqed with PCD

03/14t2019

P1,908,000.00(for 1,000 shares)

D

P 1,908.00 1,000

P1,912,m0.00(for 1,000 sllares)

P 1,912.00 1,000

P3,860,000.00(for 2,000 shares)

P 1,930.00 2,000

03t 1512019 P1,93 t,000.00(for 1,000 shares)

P 1.931.00 1 ,000

TOTAL COMMON(End Balance) 95,853

D - 22,309| - 73,544 lodqed with PCD

Preferred Shares at P5 par value(Balance since February 16, 2009)

P5.00(for 1 share)

P5.00 1

Non-Voting Preferred Shares at P50 par value(Balance since Auoust 22,2014\

P8,350,000(for 16.700 shares)

P500 '16,700 lodged with PCD

MAR 20ICTDlY'.-

Page 5: Ernest L. Cu - Globe Telecom · Arcur( of S4uritbs OwEd at End c,f 4 Owrship Form: Direct (D) tr lndirect (l ) ' i. |.ldwe c, lndtect BerEfbbl Swrsht) v" Number of ShaE Amoud (A)

FORM 238 (@nunued) Table ll - Derivative Serities Acqied, Dbp6ed d, d BerEfbb[y OwEd(e9., wffita, oplionq @nMlblc sdti6)

Dertuattue SecurityExercbe PrbeC OerivativeSeurity

ra6&1ffDate

MdHDay/Yr)

Numrer d &rilatve kum6Acquircd (A) tr Dbp6ed of (O)

). kte:x@b# ard:xdatbn OdeMdtYDay/Y€r)

o, I [e arc Am@tr oUndertirE Sewnies

,. Pr@otDerivattueSeurity

,.M.d>dativeSeurtbslerefbbly)trEd at:rn of

sf+ Fmof OerivativeSeuity;DtEt (D)q

ldk*t (l)

10. Mture, lrdiEtB*fbbl)w6li)

Am@nt (A) q (D) Date Title {umber, SlErs

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Report are true, complete and accurate.

EBy:

Date:

CUDrector, President and Chief Executive Officer (CEO)

March 19 2019

Expbmtih d R6po.E6:

^jote: Fb the (3) ccpies of ttis fdm, @ oa wtth m6t be mnEtty silrEd

Attah additirEl stets it spee p(@iled is icrrlbiefr.