-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Bew7YqpTm97h0qofxtrQGJNpG82kY5UcoTetfTuUfI5lPDu9njFBpb89tfmUeLPW X0ipW0L9MamCva0714sNBA== 0000893220-03-001464.txt : 20030818 0000893220-03-001464.hdr.sgml : 20030818 20030818134238 ACCESSION NUMBER: 0000893220-03-001464 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20030818 GROUP MEMBERS: ICG HOLDINGS, INC. GROUP MEMBERS: INTERNET CAPITAL GROUP, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIVERSAL ACCESS GLOBAL HOLDINGS INC CENTRAL INDEX KEY: 0001070699 STANDARD INDUSTRIAL CLASSIFICATION: RADIO TELEPHONE COMMUNICATIONS [4812] IRS NUMBER: 364408076 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58781 FILM NUMBER: 03852530 BUSINESS ADDRESS: STREET 1: 233 SOUTH WACKER DRIVE STREET 2: STE 600 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126605000 MAIL ADDRESS: STREET 1: 233 SOUTH WACKER DRIVE STREET 2: STE 600 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: UAXS GLOBAL HOLDINGS INC DATE OF NAME CHANGE: 20010718 FORMER COMPANY: FORMER CONFORMED NAME: UNIVERSAL ACCESS INC DATE OF NAME CHANGE: 19991019 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTERNET CAPITAL GROUP INC CENTRAL INDEX KEY: 0001085621 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 232996071 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 600 SAFEGUARD BUILDING STREET 2: 435 DEVON PARK DRIVE CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 6109890111 MAIL ADDRESS: STREET 1: 600 SAFEGUARD BUILDING STREET 2: 435 DEVON PARK DRIVE CITY: WAYNE STATE: PA ZIP: 19087 SC 13D/A 1 w89448sc13dza.txt AMENDMENT #3 TO SCHEDULE 13D/A ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------------- SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 3)* ---------------- UNIVERSAL ACCESS GLOBAL HOLDINGS INC. (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 91336M204 (CUSIP NUMBER) SUZANNE L. NIEMEYER, ESQ. GENERAL COUNSEL, MANAGING DIRECTOR AND SECRETARY INTERNET CAPITAL GROUP, INC. 600 BUILDING 435 DEVON PARK DRIVE WAYNE, PENNSYLVANIA 19087 (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) COPY TO: CHRISTOPHER G. KARRAS, ESQ. DECHERT LLP 4000 BELL ATLANTIC TOWER 1717 ARCH STREET PHILADELPHIA, PENNSYLVANIA 19103-2793 JULY 23, 2003 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) IF THE FILING PERSON HAS PREVIOUSLY FILED A STATEMENT ON SCHEDULE 13G TO REPORT THE ACQUISITION THAT IS THE SUBJECT OF THIS SCHEDULE 13D, AND IS FILING THIS SCHEDULE BECAUSE OF SECTIONS 240.13D-1(e), 240.13D-1(f) OR 240.13D-1(g), CHECK THE FOLLOWING BOX [ ] NOTE: SCHEDULES FILED IN PAPER FORMAT SHALL INCLUDE A SIGNED ORIGINAL AND FIVE COPIES OF THE SCHEDULE, INCLUDING ALL EXHIBITS. SEE RULE 240.13d-7 FOR OTHER PARTIES TO WHOM COPIES ARE TO BE SENT. *THE REMAINDER OF THIS COVER PAGE SHALL BE FILLED OUT FOR A REPORTING PERSON'S INITIAL FILING ON THIS FORM WITH RESPECT TO THE SUBJECT CLASS OF SECURITIES, AND FOR ANY SUBSEQUENT AMENDMENT CONTAINING INFORMATION WHICH WOULD ALTER DISCLOSURES PROVIDED IN A PRIOR COVER PAGE. THIS INFORMATION REQUIRED ON THE REMAINDER OF THIS COVER PAGE SHALL NOT BE DEEMED TO BE "FILED" FOR THE PURPOSE OF SECTION 18 OF THE SECURITIES EXCHANGE ACT OF 1934 ("ACT") OR OTHERWISE SUBJECT TO THE LIABILITIES OF THAT SECTION OF THE ACT BUT SHALL BE SUBJECT TO ALL OTHER PROVISIONS OF THE ACT (HOWEVER, SEE THE NOTES). ================================================================================ - ---------------------------------- CUSIP NO. 913363 10 7 - ---------------------------------- - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSONS INTERNET CAPITAL GROUP, INC. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON 23-2996071 - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX (A) [ ] IF A MEMBER OF A GROUP (B) [X] - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) SOURCE OF FUNDS (SEE INSTRUCTIONS) N/A - -------------------------------------------------------------------------------- 5) CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [ ] - -------------------------------------------------------------------------------- 6) CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- NUMBER OF SHARES 7) SOLE VOTING BENEFICIALLY OWNED BY EACH POWER 0 -------------------------------- REPORTING PERSON WITH 8) SHARED VOTING POWER 1,083,206* -------------------------------- 9) SOLE DISPOSITIVE POWER 0 -------------------------------- 10) SHARED DISPOSITIVE POWER 1,083,206* -------------------------------- - -------------------------------------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,083,206* - -------------------------------------------------------------------------------- 12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.47% - -------------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON (SEE CO INSTRUCTIONS) * Does not include 3,500 shares of Common Stock subject to a purchase option held by Mr. Anthony P. Dolanski, the Chief Financial Officer of Internet Capital Group, Inc. Internet Capital Group, Inc. does not have voting or dispositive power with respect to these shares and disclaims beneficial ownership thereof. Page 2 of 10 - ---------------------------------- CUSIP NO. 913363 10 7 - ---------------------------------- - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSONS ICG HOLDINGS, INC. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON 51-0396570 - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX (A)[ ] IF A MEMBER OF A GROUP (B)[X] - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) SOURCE OF FUNDS (SEE INSTRUCTIONS) N/A - -------------------------------------------------------------------------------- 5) CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E) [ ] - -------------------------------------------------------------------------------- 6) CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- NUMBER OF SHARES 7) SOLE VOTING BENEFICIALLY OWNED BY EACH POWER 0 REPORTING PERSON WITH -------------------------------- 8) SHARED VOTING POWER 1,083,206* -------------------------------- 9) SOLE DISPOSITIVE POWER 0 -------------------------------- 10) SHARED DISPOSITIVE POWER 1,083,206* -------------------------------- - -------------------------------------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,083,206* - -------------------------------------------------------------------------------- 12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.47% - -------------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON (SEE CO INSTRUCTIONS) - -------------------------------------------------------------------------------- * Does not include 3,500 shares of Common Stock subject to a purchase option held by Mr. Anthony P. Dolanski, the Chief Financial Officer of Internet Capital Group, Inc. ICG Holdings, Inc. does not have voting or dispositive power with respect to these shares and disclaims beneficial ownership thereof. Page 3 of 9 ITEM 1. SECURITY AND ISSUER This Amendment No. 3 (this "Amendment No. 3") to Statement on Schedule 13D (the "Statement") amends the Statement previously filed on March 23, 2000, as amended on January 8, 2002 ("Amendment No. 1") and April 15, 2003 ("Amendment No. 2"), and relates to the Common Stock, par value $0.01 per share (the "Common Stock"), of Universal Access Global Holdings Inc. (the "Issuer"), a Delaware corporation having its principal place of business at 233 South Wacker Drive, Suite 600, Chicago, Illinois 60606. This Amendment No. 3 reflects the change in percentage ownership of Internet Capital Group, Inc., a Delaware corporation ("ICG"), and ICG Holdings, Inc., a Delaware corporation ("Holdings" and, together with ICG, the "Reporting Persons"), caused by the Common Stock issuance by the Issuer made in connection with the Stock Purchase Agreement, dated as of April 7, 2003, by and between CityNet Telecommunications Inc. and the Issuer. This Amendment No. 3 also reflects the change in the number of shares beneficially owned by the Reporting Person due to a one-for-twenty reverse stock split by the Issuer, effective at the close of business on August 8, 2003. This Amendment No. 3 does not reflect any transaction on the part of the Reporting Persons. Except as specifically provided herein, this Amendment No. 3 does not modify any of the information previously reported on the Statement or Amendment No. 1 and Amendment No. 2 thereto. ITEM 2. IDENTITY AND BACKGROUND The information required by Item 2(a-c) of Schedule 13D about the identity and background of the executive officers and directors of (i) ICG is hereby amended and restated as set forth on Schedule I hereto; and (ii) Holdings is hereby amended and restated as set forth on Schedule II hereto. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Exhibit 1 Joint Filing Agreement dated August 18, 2003. Page 4 of 10 Signature After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated August 18, 2003 INTERNET CAPITAL GROUP, INC. By: /s/ Suzanne L. Niemeyer ------------------------------- Suzanne L. Niemeyer General Counsel, Managing Director and Secretary Dated August 18, 2003 ICG HOLDINGS, INC. By: /s/ Suzanne L. Niemeyer ------------------------------- Suzanne L. Niemeyer Vice President and Secretary Page 5 of 9 EX-1 3 w89448exv1.txt JOINT FILING AGREEMENT DATED AUGUST 18, 2003 Exhibit 1 Joint Filing Agreement The undersigned parties hereby agree that the Schedule 13D filed herewith (and any amendments thereto) relating to the Common Stock of Universal Access Global Holdings Inc. is being filed jointly on behalf of each of them with the Securities and Exchange Commission pursuant to Section 13(d) of the Securities Act of 1934, as amended. Dated August 18, 2003 INTERNET CAPITAL GROUP, INC. By: /s/ Suzanne L. Niemeyer ----------------------------- Suzanne L. Niemeyer General Counsel, Managing Director, and Secretary Dated August 18, 2003 ICG HOLDINGS, INC. By: /s/ Suzanne L. Niemeyer ----------------------------- Suzanne L. Niemeyer Vice President and Secretary Page 6 of 9 SCHEDULE I
Name Present Principal Employment Business Address - ---- ---------------------------- ---------------- EXECUTIVE OFFICERS Walter W. Buckley, III Chairman, President and Chief Internet Capital Group, Inc. Executive Officer 435 Devon Park Drive Building 600 Wayne, PA 19087 Anthony P. Dolanski Chief Financial Officer Internet Capital Group, Inc. 435 Devon Park Drive Building 600 Wayne, PA 19087 DIRECTORS Walter W. Buckley, III (same as above) (same as above) Robert E. Keith, Jr. President and Chief Executive Officer TL Ventures 700 Building 435 Devon Park Drive Wayne, PA 19087 David J. Berkman Managing Partner Liberty Associated Partners, L.P. 3 Bala Plaza Suite 502 Bala Cynwyd, PA 19004 Warren V. Musser Managing Director The Musser Group Building 500 435 Devon Park Drive Wayne, PA 19087 Thomas P. Gerrity Former Dean The Wharton School University of Pennsylvania 1000 Steinberg Hall Philadelphia, PA 19104 Michael D. Zisman Vice President, Corporate Strategy International Business Machines Corporation 55 Cambridge Parkway Cambridge, MA 02142 Philip J. Ringo Chairman and Chief Executive Officer RubberNetwork.com, LLC 3003 Summit Boulevard NE Suite 1400 Atlanta, GA 30319
Page 7 of 9 SCHEDULE II
Name Present Principal Employment Business Address - ---- ---------------------------- ---------------- EXECUTIVE OFFICERS Walter W. Buckley, III President Internet Capital Group, Inc. 435 Devon Park Drive Building 600 Wayne, PA 19087 Anthony P. Dolanski Chief Financial Officer Internet Capital Group, Inc. 435 Devon Park Drive Building 600 Wayne, PA 19087 DIRECTORS Walter W. Buckley, III (same as above) (same as above) Suzanne L. Niemeyer (same as above) (same as above) Philip A. Rooney Vice President Internet Capital Group, Inc. 435 Devon Park Drive Building 600 Wayne, PA 19087
Page 8 of 9 -----END PRIVACY-ENHANCED MESSAGE-----