3 1 a2073302z3.txt FORM 3
-------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 3 WASHINGTON, D.C. 20549 OMB APPROVAL -------- ----------------------------- INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES OMB Number: 3235-0104 Expires: December 31, 2001 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Estimated average burden Section 17(a) of the Public Utility Holding Company Act of 1935 or hours per response .... 0.5 (Print or Type Responses) Section 30(f) of the Investment Company Act of 1940 ----------------------------- ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Date of Event Re- 4. Issuer Name and Ticker or Trading Symbol quiring Statement Stewart Steven Scott (Month/Day/Year) Cogent Communications Group, Inc. (COI) ------------------------------------------------- ------------------------------------------------------------ (Last) (First) (Middle) 02/04/02 5. Relationship of Reporting Person(s) 6. If Amendment, Date ----------------------- to Issuer (Check all applicable) of Original 3. IRS Identification Director 10% Owner (Month/Day/Year) Number of Reporting ---- ---- 1015 31st Street, N.W. Person, if an entity Officer (give Other (specify --------------------- ------------------------------------------------- (Voluntary) X title below) below) 7. Individual or (Street) ---- ---- Joint/Group Filing (Check Applicable Vice President Real Estate Line) -------------------------- Form filed by One X Reporting Person --- Form filed by More than One Reporting Person Washington DC 20007 --- ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect Beneficial (Instr. 4) Beneficially Owned Form: Direct Ownership (Instr. 5) (Instr. 4) (D) or Indirect (I) (Instr. 5) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $.001 per share 5,782 D ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, SEE Instruction 5(b)(v). SEC 1473 (3-99) POTENTIAL PERSONS WHO ARE TO 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.
FORM 3 (CONTINUED) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conver- 5. Owner- 6. Nature of Indirect (Instr. 4) cisable and Underlying Derivative Security sion or ship Beneficial Expiration (Instr. 4) Exercise Form of Ownership Date Price of Deriv- (Instr. 5) (Month/Day/ Deri- ative Year) vative Security: -------------------------------------------------- Security Direct Amount (D) or Date Expir- or Indirect Exer- ation Title Number (I) cisable Date of Shares (Instr. 5) ------------------------------------------------------------------------------------------------------------------------------------ Series B Participating 7/14/00 Common Stock, par 4,396 7.7048 into 1 D Convertible Preferred Stock, value $.001 per share par value $.001 per share ------------------------------------------------------------------------------------------------------------------------------------ Option (right to buy) 5/23/00 (1) 5/23/10 Common Stock, par 12,718 $2.50 D value $.001 per share ------------------------------------------------------------------------------------------------------------------------------------ Option (right to buy) 11/30/00 (2) 11/30/10 Common Stock, par 289 $15.00 D value $.001 per share ------------------------------------------------------------------------------------------------------------------------------------ Option (right to buy) 12/1/01 (3) 12/1/11 Common Stock, par 3,009 $2.00 D value $.001 per share ------------------------------------------------------------------------------------------------------------------------------------ Option (right to buy) 12/1/02 (4) 12/1/11 Common Stock, par 31 $2.00 D value $.001 per share ------------------------------------------------------------------------------------------------------------------------------------ Option (right to buy) 12/1/01 (5) 12/1/11 Common Stock, par 47 $2.00 D value $.001 per share ------------------------------------------------------------------------------------------------------------------------------------ Option (right to buy) 12/1/02 (4) 12/1/11 Common Stock, par 2,006 $2.00 D value $.001 per share ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) ON A BASE GRANT OF 18,500 SHARES, 16.7% OF GRANT VESTS IMMEDIATELY ON DATE OF GRANT (5/23/00). THE REMAINING PORTION OF GRANT VESTS OVER 4 YEARS FROM DATE OF GRANT, WITH 4 QUARTERLY VEST EVENTS PER YEAR IN THREE-MONTH INCREMENTS FROM DATE OF GRANT, SUBJECT TO CONTINUED EMPLOYMENT ON EACH VESTING DATE. MR. STEWART HAS EXERCISED AND HOLDS 5,782 SHARES OF THE ORIGINAL GRANT AS OUTSTANDING SHARES. (2) OPTION VESTED 100% ON DATE OF GRANT (11/30/00). (3) 45.83% OF THE GRANT VESTS IMMEDIATELY ON DATE OF GRANT (12/1/01). THE REMAINING PORTION OF GRANT VESTS IN 10 EQUAL AMOUNTS IN THREE-MONTH INCREMENTS FROM DATE OF GRANT, SUBJECT TO CONTINUED EMPLOYMENT ON EACH VESTING DATE. (4) 25% OF GRANT VESTS ON THE FIRST ANNIVERSARY OF DATE OF GRANT (12/1/01). THE REMAINING PORTION OF THE GRANT VESTS OVER 4 YEARS FROM DATE OF GRANT WITH 4 QUARTERLY VEST EVENTS IN THREE-MONTH INCREMENTS FROM DATE OF GRANT, SUBJECT TO CONTINUED EMPLOYMENT ON EACH VESTING DATE. (5) OPTION VESTED 100% ON DATE OF GRANT (12/1/01). /s/ Steven Scott Stewart March 13, 2002 ------------------------------------- ---------------------- **Intentional misstatements or omissions of facts constitute Federal **Signature of Reporting Person Date Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Steven Scott Stewart Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.