-----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, RFIA5hYOv5t1M9VOwe1nSdZAKnrHY40HJmDhdPXQsnF0bcZ34zLxU9WJUSQywkU3 wBy6t6dSndYU8iq91S6Vuw== /in/edgar/work/20000612/0001014909-00-000098/0001014909-00-000098.txt : 20000919 0001014909-00-000098.hdr.sgml : 20000919 ACCESSION NUMBER: 0001014909-00-000098 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000531 FILED AS OF DATE: 20000612 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNITEDGLOBALCOM INC CENTRAL INDEX KEY: 0000887949 STANDARD INDUSTRIAL CLASSIFICATION: [4841 ] IRS NUMBER: 841116217 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-21974 FILM NUMBER: 653271 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: 4 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 4 1 0001.txt
- ------------------ U.S. SECURITIES AND EXCHANGE COMMISSION ---------------------------- | F O R M 4 | Washington, D.C. 20549 | OMB APPROVAL | - ------------------ |--------------------------| STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number 3235-0287| [ ] Check this box if |Expires: September 30,1998| no longer Subject Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, |Estimated avg. burden | to Section 16. Section 17(a) of the Public Utility Holding Company Act of 1935 or |hours per response.....0.5| Section 30(f) of the Investment Company Act 1940 ---------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ |1.Name and Address of Reporting Person* |2.Issuer Name and Ticker or Trading Symbol |6.Relationship of Reporting Person to | | | | Issuer (Check all Applicable) | | | | | | Fries Michael T. | UnitedGlobalCom, Inc. (UCOMA) | 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) | May 2000 | President | | 4643 S. Ulster St., Suite 1300 | | | ------------------- | |----------------------------------------| |------------------------|----------------------------------------| | (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.Security Acquired (A) or |5.Amount of |6. |7.Nature of Indirect| | (Instr. 3) | tion Date | Code | Disposed of (D) | Securities |Own.| Beneficial | | |(Mon/Day/Yr)|(Instr.8)| (Instr. 3, 4 & 5) | Beneficially |Form| Ownership | | | |---------|-------------------------------| Owned at End of|(D) | (Instr. 4) | | | | | | |(A) | | Month |or | | | | |Code| V | Amount |(D) | Price | (Instr. 3 & 4) |(I) | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | |Class A Common Stock | 05/26/00 | X | | 115,792 | A | $4.75 | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Class A Common Stock | 05/26/00 | X | | 25,000 | A | $2.25 | 140,792(2) | I |By a Partnership | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Class A Common Stock | | | | | | | 120,182 | D | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| |Class A Common Stock | | | | | | | 3,494 | I |By 401(k) Plan | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | | | | | | | | | | | | - - ---------------------------------------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class securities owned directly or indirectly. SEC 1474 (7-97) *If the form is filed by more than one reporting person, see Instruction 4(b)(v). PAGE: 1 OF 2
FORM 4 (continued) TABLE II - Derivative Securities Acquired, Disposed of, Beneficially Owned (e.g., puts, calls, warrants, options, convertible security) - ------------------------------------------------------------------------------------------------------------------------------------ |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 | |Month |or | | | | | |---------|-------------------|Date |Exp. | Title |Number of | |(Instr. 4)|Ind.| | | | | |Code| V | (A) | (D) |Exbl. |Date | |Shares | | |(I) | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| | | | | | | | | | | | | | | | | |Class B | 1 for 1 |5/26/|G(1)| V | | 91,580 |Immed.| | Class A | 91,580 | | 91,580 | I |By a | |Common | | 00 | | | | | | | Common | | | (2) | |Partner- | |Stock | | | | | | | | | Stock | | | | |ship | | | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| |Class B | 1 for 1 |5/26/| G | V | | (3) |Immed.| | Class A | (3) | | (3)(2) | I |By a | |Common | | 00 | | | | | | | Common | | | | |Partner- | |Stock & | | | | | | | | | Stock | | | | |ship | |Employee | | | | | | | | | | | | | | | |Stock | | | | | | | | | | | | | | | |Option | | | | | | | | | | | | | | | |(right to | | | | | | | | | | | | | | | |buy) | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| |Employee | $4.75 |5/26/|J(4)| | |115,792 |7/22/ |7/22/ | Class A | 115,792 |$4,232,198| 8,772 | D | | |Stock | | 00 | | | | | 97 | 03 | Common | | | | | | |Option | | | | | | | | | Stock | | | | | | |(right to | | | | | | | | | | | | | | | |buy) | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| |Employee | $2.25 |5/26/|J(4)| | | 25,000 |7/22/ |7/22/ | Class A | 25,000 | $961,250| 15,000 | D | | |Stock | | 00 | | | | | 97 | 03 | Common | | | | | | |Option | | | | | | | | | Stock | | | | | | |(right to | | | | | | | | | | | | | | | |buy) | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| |Employee | $4.75 | | | | | | | | | | | 115,792 | I |By a | |Stock | | | | | | | | | | | | (2) | |Partner- | |Option | | | | | | | | | | | | | |ship | |(right to | | | | | | | | | | | | | | | |buy) | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| |Employee | $2.25 | | | | | | | | | | | 25,000 | I |By a | |Stock | | | | | | | | | | | | (2) | |Partner- | |Option | | | | | | | | | | | | | |ship | |(right to | | | | | | | | | | | | | | | |buy) | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| |Employee | $4.75 |5/26/| X | | |115,792 |7/22/ |7/22/ | Class A | 115,792 | | 0(2) | I |By a | |Stock | | 00 | | | | | 97 | 03 | Common | | | | |Partner- | |Option | | | | | | | | | Stock | | | | |ship | |(right to | | | | | | | | | | | | | | | |buy) | | | | | | | | | | | | | | | |----------|---------|-----|----|----|---------|---------|------|------|----------|----------|----------|----------|----|----------| |Employee | $2.25 |5/26/| X | | | 25,000 |7/22/ |7/22/ | Class A | 25,000 | | 0(2) | I |By a | |Stock | | 00 | | | | | 97 | 03 | Common | | | | |Partner- | |Option | | | | | | | | | Stock | | | | |ship | |(right to | | | | | | | | | | | | | | | |buy) | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: (1) Contribution of securities to The Fries Family Partnership LLLP ("FFP"), of which a trust is the general partner and the trustee thereof can be replaced by the Reporting Person and the Reporting Person was then the sole limited partner. (2) The Reporting Person disclaims beneficial ownership of the securities held by FFP, except to the extent of his pecuniary interest therein. (3) Represents a gift of limited partnership interests in FFP to a trust for the Reporting Person's daughter. (4) Transfer of securities to FFP in exchange for a promise to pay the fair market value thereof. **Intentional misstatements or omissions of facts constitute Federal /s/ Michael T. Fries June 5, 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. SEC 1474 (7-97) 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 OMD Number PAGE: 2 OF 2
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