-----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, MzpyRLfrjBMLChc+IAddJRXPYIkPjjmy+QE55mt+U1wbvDuWNXLTGAhhqbIEH0as GF4nVYp46hZb+Z8otHs1eg== 0001014909-00-000016.txt : 20000208 0001014909-00-000016.hdr.sgml : 20000208 ACCESSION NUMBER: 0001014909-00-000016 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITEDGLOBALCOM 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: 5 SEC ACT: SEC FILE NUMBER: 000-21974 FILM NUMBER: 525043 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: UNITED INTERNATIONAL HOLDINGS INC DATE OF NAME CHANGE: 19921119 COMPANY DATA: COMPANY CONFORMED NAME: FRIES MICHAEL T CENTRAL INDEX KEY: 0001058725 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 4643 S ULSTER ST STREET 2: STE 1300 CITY: DENVER STATE: CO ZIP: 80237 MAIL ADDRESS: STREET 1: UNITED INTERNATIONAL HOLDINGS INC STREET 2: 4643 S ULSTER ST STE 1300 CITY: DENVER STATE: CO ZIP: 80237 5 1
- ------------------ U.S. SECURITIES AND EXCHANGE COMMISION ---------------------------- | F O R M 5 | Washington, D.C. 20549 | OMB APPROVAL | - ------------------ |--------------------------| [ ] Check this box if ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number 3235-0362| no longer subject |Expires: December 31, 2001| to Section 16. Form 4 |Estimated avg. burden | or Form 5 obligations |hours per response.....1.0| may continue. Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ---------------------------- [ ] Form 3 Holdings Reported Section 17(a) of the Public Utility Holding Company Act of 1935 or [ ] Form 4 Transactions Section 30(f) of the Investment Company Act 1940 Reported - ------------------------------------------------------------------------------------------------------------------------------------ |1.Name and Address of Reporting Person* |2.Issuer Name and Ticker or Trading Symbol |6.Relationship of Reporting Person(s) to| | | | Issuer (Check all Applicable) | | | UnitedGlobalCom, Inc. (UCOMA) | | | Fries Michael T. | | X Director 10% Owner | |----------------------------------------|------------------------------------------------|--- --- | | (Last) (First) (MI)|3.IRS Identification |4.Statement for Month/ | X Officer Other | | | Number of Reporting | Year |---(give title below) ---(Specify below)| | | Person, if an entity | | | | | (Voluntary) | | President | | 4643 S. Ulster Street, Suite 1300 | | December 31, 1999 | | |----------------------------------------| |------------------------|----------------------------------------| | (Street) | |5.If Amendment, Date of |7. Individual or Joint/Group Filing | | | | Original (Month/Year) | (Check Applicable Line) | | | | | | | | | | X Form filed by One Reporting Person | | | | |--- | | | | | Form filed by More than One | | Denver CO 80237 | | |--- Reporting Person | |----------------------------------------------------------------------------------------------------------------------------------| | (City) (State) (Zip) | | TABLE I - Non-Derivative Securities Acquired, Disposed of or Beneficially Owned | |----------------------------------------------------------------------------------------------------------------------------------| |1.Title of Security |2.Transac- |3.Trans- |4.Securities Acquired (A) or |5.Amount of |6. |7.Nature of Indirect| | (Instr. 3) | tion Date | action | Disposed of (D) | Securities |Own.| Beneficial | | | (Month/ | Code | (Instr. 3, 4 & 5) | Beneficially |Form| Ownership | | | Day/Year) |(Instr.8)|-------------------------------| Owned at End of|(D) | (Instr. 4) | | | | | |(A) | | Issuer's |or | | | | | | |or | | Fiscal Year |(I) | | | | | | Amount |(D) | Price | (Instr. 3 & 4) | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | Class A Common Stock | | J(1) | 170 | A | | 3,494(1)(2) | I |By 401(k) Plan | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | 20,182(2) | D | | |Class A Common Stock | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| Page 1 Reminder: Report on a separate line for each class securities owned directly or indirectly. SEC 2270 (7-97) *If the form is filed by more than one reporting person, see Instruction 4(b)(v).
FORM 5 (continued) TABLE II - Derivative Securities Acquired, Disposed of, Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ |1.Title of|2.Conver-|3. |4.Tran- |5.Number of |6.Date |7.Title and Amount |8.Price of|9.Number |10. |11.Nature | |Derivative|sion or |Trans| saction| Derivative |Exercisable| of Underlying |Derivative| of |Own.| of | |Security |Exercise |Date | Code | Securities |and | Securities |Security |Derivative|Form|Indirect | |(Instr. 3)|Price of |(Mon/|(Instr.8)| Acquired (A) or |Expiration | (Instr. 3 & 4) |(Instr. 5)|Securities|of |Beneficial| | |Deriva- | Day/| | Disposed of (D) |Date | | |Benefi- |Deri|Ownership | | |tive |Year)| | (Instr. 3, 4 & 5) |(Month/Day/| | |cially |Sec.|(Instr. 4)| | |Security | | | | Year) | | |Owned at |Dir.| | | | | | | |-----------|---------------------| |End of |(D) | | | | | | | | | | |Amount or | |Year |or | | | | | | |---------------------|Date |Exp. | Title |Number of | |(Instr. 4)|Ind.| | | | | | | (A) | (D) |Exbl.|Date | |Shares | | |(I) | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | |Stock |$56.625 |12/17/ A | 100,000 | | (3) |12/17/ Class A | 100,000 | | 100,000 | D | | |Option (rt| | 99 | | | | | 09 | Common | | | | | | |to buy | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Class B | 1-for-1 | | | | | | | Class A | 91,580 | | 91,580(2)| | | |Common | | | | | | | | Common | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| Explanation of Responses: (1) Since January 1, 1999, the Reporting Person has acquired 170 shares of Class A Common Stock as contributed by Issuer under the Issuer's 401(k). (2) On November 30, 1999, the common stock of the Issuer split 2-for-1, resulting in the Reporting Person receiving the following additional shares: (i) 1,662 shares held by the 401(k) Plan, 10,091 shares of Class A common stock and 45,790 shares of Class B common stock. (3) The option is exercisable in 48 equal monthly installments commencing on December 17, 1999. **Intentional misstatements or omissions of facts constitute Federal /s/ Michael T. Fries January 31, 2000 Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ----------------------------------- ----------------- **Signature of Reporting Person Date Note: File three copies of this form, one of which must be manually signed. Michael T. Fries If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not Page 2 required to respond unless the form displays a currently valid OMB Number
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