-----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, N2YWSrRAelFmEwQN+8dL3HAt38rgpeLmDKxVzU/4QVknWDXSEXrUHCyWYCJjsyUv mCRYYRJjUCwvtnZYkSFwJA== 0001014909-00-000046.txt : 20000215 0001014909-00-000046.hdr.sgml : 20000215 ACCESSION NUMBER: 0001014909-00-000046 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 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: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43651 FILM NUMBER: 538738 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROCHELLE CURTIS CENTRAL INDEX KEY: 0001034043 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 4643 S. ULSTER SUITE 1300 CITY: DENVER STATE: CO ZIP: 80237 MAIL ADDRESS: STREET 1: 4643 S. ULSTER STREET 2: SUITE 1300 CITY: DENVER STATE: CO ZIP: 80237 SC 13G/A 1 SC 13G/A-5 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. 6)* UnitedGlobalCom, Inc. --------------------- (f/k/a United International Holdings, 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(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 13 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Curtis Rochelle - -------------------------------------------------------------------------------- 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: ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY 2,036,940 (1) OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: 2,036,940 (1) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,036,940 (1) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.44% (2) - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. (1) Reflects the 2-for-1 stock split in November 1999. Also, includes 90,000 shares of Class A Common Stock Mr. Rochelle would acquire upon exercise of presently exercisable stock options, and includes 1,796,940 shares of Class A Common Stock issuable upon conversion of 1,796,940 shares of the Issuer's Class B Common Stock, par value $0.01 per share ("Class B Common Stock"), owned by the Curtis Rochelle Trust, of which Mr. Rochelle is the trustee. (2) Adjusted for the exercise of options and conversion of Class B Common Stock. Each share of Class A Common Stock is entitled to one vote per share and each share of Class B Common Stock is entitled to ten votes per share. Holders of Class A Common Stock and Class B Common Stock vote as a single class on the election of directors. See Item 8 concerning the election of directors. CUSIP NO.: 913247 50 8 13G Page 3 of 13 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Curtis Rochelle 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 U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY 1,946,940 (1) OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: 1,946,940 (1) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,946,940 (1) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.34% (2) - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON 00 - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. (1) Reflects the 2-for-1 stock split in November 1999. Also, includes 1,796,940 shares of Class A Common Stock issuable upon conversion of 1,796,940 shares of Class B Common Stock owned by the Curtis Rochelle Trust. (2) Adjusted for the conversion of Class B Common Stock. Each share of Class A Common Stock is entitled to one vote per share and each share of Class B Common Stock is entitled to ten votes per share. Holders of Class A Common Stock and Class B Common Stock vote as a single class on the election of directors. See Item 8 concerning the election of directors. CUSIP NO.: 913247 50 8 13G Page 4 of 13 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Marian Rochelle - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY 359,502 (1) OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: 359,502 (1) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 359,502 (1) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.44% (2) - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. (1) Reflects the 2-for-1 stock split in November 1999. Also includes 222,368 shares of Class A Common Stock issuable upon conversion of 222,368 shares of Class B Common Stock, owned by the Marian H. Rochelle Revocable Trust of which Ms. Rochelle is the trustee and, therefore, no change in beneficial ownership has occurred. (2) Adjusted for the conversion of Class B Common Stock. Each share of Class A Common Stock is entitled to one vote per share and each share of Class B Common Stock is entitled to ten votes per share. Holders of Class A Common Stock and Class B Common Stock vote as a single class on the election of directors. See Item 8 concerning the election of directors. CUSIP NO.: 913247 50 8 13G Page 5 of 13 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Marian Rochelle Revocable 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 U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY 348,368 (1) OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: 348,368 (1) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 348,368 (1) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.43% (2) - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON 00 - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. (1) Reflects the 2-for-1 stock split in November 1999. Also includes 222,368 shares of Class A Common Stock issuable upon conversion of 222,368 shares of Class B Common Stock, owned by the Marian H. Rochelle Revocable Trust. Marian Rochelle is the trustee of this Trust; therefore, no change in beneficial ownership has occurred. (2) Adjusted for the conversion of Class B Common Stock. Each share of Class A Common Stock is entitled to one vote per share and each share of Class B Common Stock is entitled to ten votes per share. Holders of Class A Common Stock and Class B Common Stock vote as a single class on the election of directors. See Item 8 concerning the election of directors. CUSIP NO.: 913247 50 8 13G Page 6 of 13 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Jim Rochelle - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY 66,912 (1) OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: 66,912 (1) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 66,912 (1) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.08% (2) - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. (1) Reflects the 2-for-1 stock split in November 1999. Also, includes 66,912 shares of Class A Common Stock issuable upon conversion of 66,912 shares of Class B Common Stock. (2) Adjusted for the conversion of Class B Common Stock. Each share of Class A Common Stock is entitled to one vote per share and each share of Class B Common Stock is entitled to ten votes per share. Holders of Class A Common Stock and Class B Common Stock vote as a single class on the election of directors. See Item 8 concerning the election of directors. CUSIP NO.: 913247 50 8 13G Page 7 of 13 Pages 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Kathleen Jaure - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER: ----------------------------------------------------------------- NUMBER OF SHARES 6. SHARED VOTING POWER: BENEFICIALLY 76,912 (1) OWNED BY ----------------------------------------------------------------- EACH REPORTING 7. SOLE DISPOSITIVE POWER: PERSON WITH ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER: 76,912 (1) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 76,912 (1) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.09% (2) - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT. (1) Reflects the 2-for-1 stock split in November 1999. Also, includes 76,912 shares of Class A Common Stock issuable upon conversion of 76,912 shares of Class B Common Stock. (2) Adjusted for the conversion of Class B Common Stock. Each share of Class A Common Stock is entitled to one vote per share and each share of Class B Common Stock is entitled to ten votes per share. Holders of Class A Common Stock and Class B Common Stock vote as a single class on the election of directors. See Item 8 concerning the election of directors. CUSIP NO.: 913247 50 8 13G Page 8 of 13 Pages ITEM 1. (a) Name of Issuer: United GlobalCom, Inc. (f\k\aUnited International Holdings, 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: Curtis Rochelle Curtis Rochelle Trust Marian Rochelle Marian H. Rochelle Revocable Trust Jim Rochelle Kathleen Jaure (b) Address of Principal Business Office or, if None, Residence: The address for Curtis Rochelle is: c/o UnitedGlobalCom, Inc. 4643 S. Ulster Street, Suite 1300 Denver, CO 80237 The address for the Curtis Rochelle Trust, Marian Rochelle and the Marian H. Rochelle Revocable Trust is: P.O. Box 996 Rawlins, WY 82301 The address for Jim Rochelle is: Box 967 Gillette, WY 82717 The address for Kathleen Jaure is: Box 321 Rawlins, WY 82301 (c) Citizenship: All of the Reporting Persons are citizens of the USA. (d) Title of Class of Securities: Class A Common Stock, par value $0.01 per share CUSIP NO.: 913247 50 8 13G Page 9 of 13 Pages (e) CUSIP Number: 913247 50 8 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. The information provided in this Item 4 assumes the conversion of Class B Common Stock for Class A Common Stock and reflects the 2-for-1 stock split of the Issuer's common stock on November 30, 1999. (a) Amount beneficially owned: Curtis Rochelle beneficially owns 2,036,940 shares of Class A Common Stock, which includes presently exercisable options for 90,000 shares and 1,946,940 shares held by the Curtis Rochelle Trust. Curtis Rochelle Trust beneficially owns 1,946,940 shares of Class A Common Stock. Marian Rochelle beneficially owns 359,502 shares of Class A Common Stock. Marian H. Rochelle Revocable Trust beneficially owns 348,368 shares of Class A Common Stock. Jim Rochelle beneficially owns 66,912 shares of Class A Common Stock. Kathleen Jaure beneficially owns 76,912 shares of Class A Common Stock. CUSIP NO.: 913247 50 8 13G Page 10 of 13 Pages (b) Percent of class: The following percentage interests are based on 81,578,682 shares of Class A Common Stock outstanding as of December 31, 1999, as provided by the Issuer. Curtis Rochelle: 2.44% (adjusted for presently exercisable stock options) Curtis Rochelle Trust: 2.34% Marian Rochelle: 0.44% Marian H. Rochelle Revocable Trust: 0.43% Jim Rochelle: 0.08% Kathleen Rochelle: 0.09% Each share of Class A Common Stock is entitled to one vote per share and each share of Class B Common Stock is entitled to ten votes per share. Holders of Class A Common Stock and Class B Common Stock vote as a single class on the election of directors. When all classes of stock beneficially owned by each of the Reporting Persons are aggregated, each Reporting Person may be deemed to beneficially own voting equity securities representing the following percentages of the voting power with respect to a general election of directors: Curtis Rochelle: 6.62% (adjusted for presently exercisable stock options) Curtis Rochelle Trust: 6.54% Marian Rochelle: 0.86% Marian H. Rochelle Revocable Trust: 0.85% Jim Rochelle: 0.24% Kathleen Rochelle: 0.28% See Item 8 below for additional information concerning the election of directors. (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 vote (see Item 8 below, which is incorporated in this Item 4(c) by this reference): Curtis Rochelle: 2,036,940 shares, includes 90,000 shares subject to presently exercisable options Curtis Rochelle Trust: 1,946,940 shares Marian Rochelle: 359,502 shares Marian H. Rochelle Revocable Trust: 348,368 Jim Rochelle: 66,912 shares Kathleen Jaure: 76,912 shares (iii) Sole power to dispose or to direct the disposition of: not applicable (iv) Shared power to dispose or to direct the disposition of (see Item 8 below, which is incorporated in this Item 4(c) by this reference): Curtis Rochelle: 2,036,940 shares, includes 90,000 shares subject to presently exercisable options Curtis Rochelle Trust: 1,946,940 shares Marian Rochelle: 359,502 shares Marian H. Rochelle Revocable Trust: 348,368 Jim Rochelle: 66,912 shares Kathleen Jaure: 76,912 shares CUSIP NO.: 913247 50 8 13G Page 11 of 13 Pages ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this 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 [ ]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. 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. Curtis Rochelle is the beneficial owner of 90,000 shares of Class A Common Stock (assumes the exercise of options for 90,000 shares) and 150,000 shares of Class A Common Stock and 1,796,940 shares of Class B Common Stock, which are held in the name of Curtis Rochelle Trust of which he is the trustee. Such beneficial ownership does not include 137,134 shares of Class A Common Stock and 222,368 shares of Class B Common Stock beneficially held by his spouse, Marian Rochelle. Jim Rochelle and Kathleen Jaure each received their shares of Class B Common Stock identified in this Schedule 13G, as amended, from an affiliate of Curtis Rochelle, but Mr. Rochelle has retained no beneficial ownership interest in such shares. Pursuant to the terms of that certain Stockholders' Agreement, dated April 13, 1993 (the "Stockholders' Agreement"), by and among the Founders and their Permitted Transferees, Apollo Cable Partners, L.P. ("Apollo") and the Issuer, Apollo and the Founders agreed to vote in favor of three persons nominated to be directors by Apollo and nine persons nominated to be directors by the Founders in the elections of directors of the Issuer. The number of persons Apollo and the Founders are entitled to nominate for election as directors is subject to reduction for each group if the percentage of the Issuer's voting securities beneficially owned by it is reduced below certain levels. The director nomination rights expire on April 12, 2003, unless earlier terminated. A copy of the Stockholders' Agreement can be found at Exhibit 10.16 to the Issuer's Registration Statement on Form S-1 (File No. 33-61376) filed with Securities and Exchange Commission on April 21, 1993. The Reporting Persons have been advised that Lawrence F. DeGeorge, Lawrence J. DeGeorge and Apollo sold all their Class B Common Stock, an aggregate of 9,859,336 shares, to Liberty Media Corporation ("LMC") in 1999 and that, as a consequence of such sale, those persons are no longer bound by the Stockholders' Agreement. Pursuant to the terms of the Stockholders' Agreement, LMC succeeded to certain rights and obligations of Apollo under the Stockholders' Agreement upon the closing of such transaction. In connection with such transaction, LMC entered into a Term Sheet (the "Term Sheet") with the Issuer and its subsidiary United Pan-Europe Communications NV ("UPC"), concerning the Issuer's securities and other matters and LMC announced it had agreed to assign 50% of such shares to Microsoft Corporation. The Stockholders' Agreement is to be replaced by a new agreement when the provisions of the Term Sheet are fully implemented. Each of the Reporting Persons disclaims beneficial ownership of the shares of Class B Common Stock held by LMC. Some Founders have transferred at various times all or a portion of their shares of the Issuer to the following persons: Albert & Carolyn Company, James R. Carollo Living Trust, John B. Carollo Living Trust, Curtis Rochelle Trust, Jim Rochelle, the Marian H. Rochelle Revocable Trust, Kathleen Jaure, The Gene W. Schneider Family Trust, the Revocable Trust of Janet Schneider, Richard H. Schneider, Robert A. Schneider, Susan G. Schneider and the Revocable Trust of Henry H. Cate, Jr. As a result of these transfers, the transferees became subject to the Stockholders' Agreement. Also, in January/February 1999, Susan G. Schneider sold all her shares of Common Stock and is no longer bound by the Stockholders' Agreement. As a result of the foregoing transactions, 1,630,720 shares of Class A Common Stock (includes 1,083,838 shares subject to presently exercisable options) and 9,014,588 shares of Class B Common Stock are held by the following current parties to the Stockholders' Agreement: Albert M. Carollo, Carollo Company, Albert & Carolyn Company, James R. Carollo Living Trust, John CUSIP NO.: 913247 50 8 13G Page 12 of 13 Pages B. Carollo Living Trust, Kathleen Jaure, The Gene W. Schneider Family Trust, Curtis Rochelle, Curtis Rochelle Trust, Jim Rochelle, Marian Rochelle, the Marian H. Rochelle Revocable Trust, Gene W. Schneider, G. Schneider Holdings, Mark Schneider, Janet Schneider, the Revocable Trust of Janet Schneider, Richard H. Schneider, Robert A. Schneider, Henry H. Cate, Jr., and the Revocable Trust of Henry H. Cate, Jr. The Issuer's Board of Directors currently consists of eleven members, nine of whom may be deemed to have been nominated by the Founders and two of whom have been elected at the request of LMC and Microsoft. Upon full implementation of the Term Sheet, it is anticipated that the Founders will nominate eight members and UPC, LMC and Microsoft will each nominate one member of the Board. Pursuant to Rule 13d-4, each of the Reporting Persons hereby disclaims beneficial ownership for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, of the shares of Class A Common Stock and Class B Common Stock held by LMC, any other Founder or their Permitted Transferees. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATIONS. Not applicable. CUSIP NO.: 913247 50 8 13G Page 13 of 13 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 2, 2000 /s/ Curtis Rochelle ---------------------------------------- Curtis Rochelle CURTIS ROCHELLE TRUST Dated: February 2, 1999 By: /s/ Curtis Rochelle ------------------------------------- Curtis Rochelle Trustee Dated: February 2, 2000 /s/ Marian Rochelle ---------------------------------------- Marian Rochelle MARIAN ROCHELLE REVOCABLE TRUST Dated: February 2, 2000 By: /s/ Marian Rochelle ------------------------------------- Marian Rochelle Trustee Dated: February 3, 2000 /s/ Jim Rochelle ---------------------------------------- Jim Rochelle Dated: February 2, 2000 /s/ Kathleen Jaure ---------------------------------------- Kathleen Jaure -----END PRIVACY-ENHANCED MESSAGE-----