-----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, Lr5LHX2/fPsb1fTht1TICNeRIy4hzfrkh2hnTIFqH+zgv1rPuFHgK1/62iHXTM3d z9Vt/LN9WPtonp8trpYNMA== 0001014909-00-000048.txt : 20000215 0001014909-00-000048.hdr.sgml : 20000215 ACCESSION NUMBER: 0001014909-00-000048 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITED PAN EUROPE COMMUNICATIONS NV CENTRAL INDEX KEY: 0001070778 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 980191997 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-25365 FILM NUMBER: 542114 BUSINESS ADDRESS: STREET 1: FREDERIK ROESKESTRAAT 123 STREET 2: 1076 EE AMSTERDORN CITY: NETHERLANDS STATE: P7 ZIP: 00000 COMPANY DATA: COMPANY CONFORMED NAME: UNITEDGLOBALCOM INC CENTRAL INDEX KEY: 0000887949 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] OWNER IRS NUMBER: 841116217 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 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 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 [X] 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| | UnitedGlobalCom, Inc. | | Issuer (Check all Applicable) | | (f/k/a United International Holdings, | United Pan-Europe Communications NV | | | Inc.) | (UPCOY) | Director X 10% Owner | |----------------------------------------|------------------------------------------------|--- --- | | (Last) (First) (MI)|3.IRS Identification |4.Statement for Month/ | Officer Other | | | Number of Reporting | Year |---(give title below) ---(Specify below)| | | Person, if an entity | | | | | (Voluntary) | | | | 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) | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | Ordinary Shares | | J(1) | 3,555,686 | D | | 2,444,314 | I |By a foundation | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | Ordinary Shares | 12/31/99 | C4 | 208,314 | A | | 77,295,783 | D | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|---------|----------------|----|---------|-----------------|----|--------------------| 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) | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | |Promissory| $32.78 |02/11/ J(2) | (3) | |Immed|On | Ordinary | (3) | | | D | | |Note (rt | | 99 | | | | |demand Shares | | | | | | |to buy) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Promissory| $32.78 |12/31/ C | | |Immed|On | Ordinary | 208,314 | | -0- | D | | |Note (rt | | 99 | | | | |demand Shares | | | | | | |to buy) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |----------|---------|-----|---------|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| Explanation of Responses: (1) The Foundation hold these securities under the Issuer's Stock Option Plan for transfer to employees upon exercise of options. The Reporting Person appoints the board members of the Foundation. During fiscal year 1999, the Foundation transferred 3,555,686 Ordinary Shares to persons who exercised stock options of the Issuer. (2) Evidences a loan to Issuer, which the Reporting Person may elect to have the unpaid principal and interest paid with Ordinary Shares at any time at the Issuer's initial public offering price. (3) The number of Ordinary Shares that may be acquired varies based on the amount due under the Promissory Note at the time of exercise. UnitedGlobalCom, Inc. **Intentional misstatements or omissions of facts constitute Federal By: /s/ Ellen P. Spangler February 14, 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. Ellen P. Spangler, Senior If space provided is insufficient, see Instruction 6 for procedure. Vice President 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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