-----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, VNCeJJ4zLQ6rObAEisJXMV6i8msYJQ754cuBA0zJpjj8C8PBAWWZr4vz07XPI5le L9Y5ZCwJw0HHFsOEjv2J2A== 0000945771-01-000001.txt : 20010209 0000945771-01-000001.hdr.sgml : 20010209 ACCESSION NUMBER: 0000945771-01-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010131 FILED AS OF DATE: 20010208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: VIATEL INC CENTRAL INDEX KEY: 0000945771 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 133787366 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-21261 FILM NUMBER: 1527956 BUSINESS ADDRESS: STREET 1: 685 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2123509200 MAIL ADDRESS: STREET 1: 685 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10017 COMPANY DATA: COMPANY CONFORMED NAME: PRENETTA JAMES P JR CENTRAL INDEX KEY: 0001111509 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O VIATEL INC STREET 2: 685 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2123509200 MAIL ADDRESS: STREET 1: C/O VIATEL INC STREET 2: 685 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 4 1 0001.txt FORM 4 - JANUARY 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Prenetta, James P. 190 Canterbury Lane Fairfield, CT 06432 USA 2. Issuer Name and Ticker or Trading Symbol Viatel, Inc. VYTL 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year January 2001 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Senior Vice President and General Counsel 7. 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 |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock, $.01 par valu|1/12/0|P |-|939(1) |A |$4.09 |20,939(2) |D |- | e per share |1 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Time-based options (Ri|$39.375 |- |- |-|- - |A,D|(3) |07/26|Common Stock|30,000 |- |30,000 |D |- | ght to buy) | | | | | | | |/09 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Time-based options (Ri|$49.313 |- |- |-|- - |A,D|(4) |01/04|Common Stock|45,000 |- |45,000 |D |- | ght to buy) | | | | | | | |/10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Time-based options (Ri|$14.00 |- |- |-|- - |A,D|(5) |07/31|Common Stock|10,000 |- |10,000 |D |- | ght to buy) | | | | | | | |/10 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: (1) Shares purchased through the Company's Employee Stock Purchase Plan at a 15% discount to the then current market price. (2) Includes 20,000 shares of restricted stock which will vest on June 1, 2002 if executive remains in the employment of the Company until such date. All unvested shares of restricted stock will also vest in the event of a Change in Control of the Company or a Termination Without Cause. (3) Options to purchase shares vested and became exercisable as to 33.34% of these options on July 26, 2000 and the remainder will vest and become exercisable on each successive anniversary date thereafter to the extent of 33.33% of these options. All of these options vest in the event of a Change in Control. (4) Options to purchase shares vested and became exercisable as to 33.34% of these options on January 4, 2001 and the remainder will vest and become exercisable on each successive anniversary date thereafter to the extent of 33.33% of these options. All of these options vest in the event of a Change in Control. (5) Options to purchase shares will vest and become exercisable as to 33.34% of these options on July 31, 2001 and the remainder will vest and become exercisable on each successive anniversary date thereafter to the extent of 33.33% of these options. All of these options vest in the event of a Change in Control. SIGNATURE OF REPORTING PERSON /s/ James P. Prenetta DATE February 8, 2001
-----END PRIVACY-ENHANCED MESSAGE-----