-----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, AE7BH9hec0M9XfFlIMQQHbkTFn3Vn7R3zAIzoA23kNXr4ygtBcoPcDMF7aOvAc0V Veuza9VmtfcdhSvUZ6WAXg== 0001014909-02-000098.txt : 20020414 0001014909-02-000098.hdr.sgml : 20020414 ACCESSION NUMBER: 0001014909-02-000098 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: ALBERT & CAROLYN COMPANY GROUP MEMBERS: ALBERT M. CAROLLO, SR. GROUP MEMBERS: CAROLLO COMPANY GROUP MEMBERS: JAMES R. CAROLLO LIVING TRUST GROUP MEMBERS: JOHN B. CAROLLO LIVING TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UGC HOLDINGS INC CENTRAL INDEX KEY: 0000887949 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 841116217 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44340 FILM NUMBER: 02546792 BUSINESS ADDRESS: STREET 1: 4643 S ULSTER ST STREET 2: STE 1300 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 3037704001 MAIL ADDRESS: STREET 1: 4643 S ULSTER ST STREET 2: STE 1300 CITY: DENVER STATE: CO ZIP: 80237 FORMER COMPANY: FORMER CONFORMED NAME: UNITEDGLOBALCOM INC DATE OF NAME CHANGE: 19990727 FORMER COMPANY: FORMER CONFORMED NAME: UNITED INTERNATIONAL HOLDINGS INC DATE OF NAME CHANGE: 19921119 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CAROLLO ALBERT M CENTRAL INDEX KEY: 0000922952 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 4643 S ULSTER ST 1300 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 3073623773 MAIL ADDRESS: STREET 1: 4643 S ULSTER ST 1300 CITY: DENVER STATE: CO ZIP: 80237 SC 13G/A 1 f13g_carollo.txt AMEND. SCHEDULE 13G - CAROLLO SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------------------- SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 8)* EXIT UGC Holdings, Inc. (f/k/a UnitedGlobalCom, Inc.) ----------------------------- (Name of Issuer) Class A Common Stock, par value $0.01 per share ----------------------------------------------- (Title of Class of Securities) 913247 50 8 ----------- (CUSIP Number) Filed pursuant to Rule 13d-2(a) & (b) ------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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.: 913247 50 8 13G Page 2 of 10 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Albert M. Carollo, Sr. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: -0- ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY -0- OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON -0- WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: -0- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. CUSIP NO.: 913247 50 8 13G Page 3 of 10 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Carollo Company - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Wyoming - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: -0- ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY -0- OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON -0- WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: -0- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. CUSIP NO.: 913247 50 8 13G Page 4 of 10 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Albert & Carolyn Company - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Wyoming - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: -0- ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY -0- OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON -0- WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: -0- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON 00 - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. CUSIP NO.: 913247 50 8 13G Page 5 of 10 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) James R. Carollo Living Trust - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Wyoming - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: -0- ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY -0- OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON -0- WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: -0- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON 00 - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. CUSIP NO.: 913247 50 8 13G Page 6 of 10 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) John B. Carollo Living Trust - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Wyoming - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: -0- ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY -0- OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON -0- WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: -0- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON 00 - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. CUSIP NO.: 913247 50 8 13G Page 7 of 10 Pages ITEM 1. (a) Name of Issuer: UGC Holdings, Inc., formerly known as United GlobalCom, Inc., a Delaware corporation (b) Address of Issuer's Principal Executive Offices: 4643 S. Ulster Street Suite 1300 Denver, Colorado 80237 ITEM 2. (a) Name of Person(s) Filing: Albert M. Carollo Carollo Company, a general partnership Albert & Carolyn Company, a general partnership James R. Carollo Living Trust John B. Carollo Living Trust (b) Address of Principal Business Office or, if None, Residence: The address for all Reporting Persons, except James R. Carollo Living Trust, is: c/o Sweetwater Television P.O. Box 9 602 Broadway Rock Springs, WY 82901 The address for James R. Carollo Living Trust is: Box 772870 Steamboat Springs, CO 80477 (c) Citizenship: Albert M. Carollo, Sr. is a citizen of the USA. The other Reporting Persons are organized under the laws of the State of Wyoming. (d) Title of Class of Securities: Class A Common Stock, par value $0.01 per share ("Class A Stock") (e) CUSIP Number: Up to January 30, 2002, the Issuer's CUSIP Number for its Class A stock was 913247 50 8. As of January 30, 2002, the Issuer merged with a subsidiary of UnitedGlobalCom, Inc., formerly known as New UnitedGlobalCom, Inc., a Delaware corporation ("United"). The Issuer survived as a subsidiary of United and no longer has any securities registered. The reporting persons received shares of United for their respective interests in the Issuer. CUSIP NO.: 913247 50 8 13G Page 8 of 10 Pages ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 13D-1(b) OR 13D-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or Dealer registered under Section 15 of the Exchange Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act of 1940. (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) [ ] A savings association as defined in Section 3(b)of the Federal Deposit Insurance Act. (i) [ ] A church plan that is excluded from the definition of an investment investment company under Section 3(c)(14) of the Investment Company Act Act of 1940. (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c) check this box. [ ] ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the Issuer identified in Item 1. (a) Amount beneficially owned: No registered securities owned by any Reporting Person. (b) Percent of class: not applicable (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: not applicable (ii) Shared power to vote or to direct the: not applicable (iii) Sole power to dispose or to direct the disposition of: not applicable (iv) Shared power to dispose or to direct the disposition of: not applicable ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5% of the class of securities, check the following [X]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. CUSIP NO.: 913247 50 8 13G Page 9 of 10 Pages ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable, see Item 9 below. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. As stated in Item 2 above, the Issuer no longer has any registered securities. In addition, the Stockholders' Agreement dated April 13, 1993, pursuant to which the Reporting Persons may have been deemed a "group" terminated in connection with the merger described in Item 2 above. ITEM 10. CERTIFICATIONS. Not applicable. EXHIBITS. 1. Power of Attorney dated October 30, 2001, by Carollo Company, Albert & Carolyn Company, James R. Carollo Living Trust and John B. Carollo Living Trust appointing Albert M. Carollo as attorney-in-fact is incorporated by reference to the attachment to the Form 3 of Albert & Carolyn Company filed with the Securities and Exchange Commission on January 30, 2002. CUSIP NO.: 913247 50 8 13G Page 10 of 10 Pages SIGNATURE After reasonable inquiry and to the best of the undersigned's knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: February 12, 2001 ALBERT M. CAROLLO, SR. CAROLLO COMPANY ALBERT & CAROLYN COMPANY JAMES R. CAROLLO LIVING TRUST JOHN B. CAROLLO LIVING TRUST By: /s/ Albert M. Carollo, Sr. ------------------------------------ Albert M. Carollo, Sr., individually and as Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----