-----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, MIGRMKdHSOjPFe+cEe8qeR5GEkdpQb+IbNGW9jPRmqWqe9KgcHB+cnI9a2arXgUl T5DzWyLy6Rj9jsXqR7GptQ== 0000950157-02-000890.txt : 20021226 0000950157-02-000890.hdr.sgml : 20021225 20021226115858 ACCESSION NUMBER: 0000950157-02-000890 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021223 FILED AS OF DATE: 20021226 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: VIVENDI UNIVERSAL CENTRAL INDEX KEY: 0001127055 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] RELATIONSHIP: OWNER IRS NUMBER: 000000000 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 42 AVENUEDE FRIEDLAND STREET 2: 75380 PARIS CEDEX CITY: 08 FRANCE STATE: I0 ZIP: 00000 BUSINESS PHONE: 0113317171 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ECHOSTAR COMMUNICATIONS CORP CENTRAL INDEX KEY: 0001001082 STANDARD INDUSTRIAL CLASSIFICATION: CABLE & OTHER PAY TELEVISION SERVICES [4841] IRS NUMBER: 880336997 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26176 FILM NUMBER: 02868772 BUSINESS ADDRESS: STREET 1: 5701 SOUTH SANTA FE DRIVE CITY: LITTLETON STATE: CO ZIP: 80120 BUSINESS PHONE: 3037231000 MAIL ADDRESS: STREET 1: 5701 SOUTH SANTA FE DRIVE CITY: LITTLETON STATE: CO ZIP: 80120 4 1 form_4.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [x] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).* - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person** Vivendi Universal, S.A. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 42, Avenue de Friedland - -------------------------------------------------------------------------------- (Street) 75380 Paris Cedex 80 France - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol EchoStar Communications Corporation (NASDAQ: DISH, Pink Sheets: DISHP) - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year December, 2002 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) January, 2002 - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [x] 10% Owner [_] Officer (give title below) [_] Other (specify below) - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) [_] Form filed by one Reporting Person [x] Form filed by more than one Reporting Person - -------------------------------------------------------------------------------- ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* Applicable to Vivendi Universal, S.A., Groupe Canal + and Financiere de Videocommunication. ** If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) (Over) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Series D (1) 12/23/02 J(2) 5,760,479 (1) (1) Class A 57,604,790 (3) 0 Mandatorily Common Convertible Stock, par Participating value Preferred $0.01 per Stock, par share value $0.01 per share - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Each of the 4,760,479 shares of Series D mandatorily convertible participating preferred stock, par value $0.01 per share (the "Preferred Stock"), of EchoStar Communications Corporation, a Nevada corporation (the "Company") is convertible into 10 shares of Class A common stock, par value $0.01 per share (the "Common Stock") of the Company upon the election of the holder that is the owner of record upon the date of such election. In the event that none of the holders elect to convert shares of Preferred Stock in the manner described above, each share of Preferred Stock will mandatorily convert into 10 shares of Common Stock upon the earliest to occur of: (i) the effective time of the merger contemplated by the Agreement and Plan of Merger, dated as of October 28, 2001, by and between the Company and Hughes Electronics Corporation, (ii) Vivendi Universal or its subsidiaries cease to own Preferred Stock or Common Stock representing, on a fully converted basis, 51% or more of the total shares of Common Stock underlying the Preferred Stock issued on January 22, 2002 to Financiere De Videocommunication, a societe anonyme organized under the laws of France ("Financiere") and wholly owned subsidiary of Groupe Canal+, a societe anonyme organized under the laws of France and wholly owned subsidiary of Vivendi Universal, (iii) the purported sale, assignment, transfer or other disposition of such share of Preferred Stock or beneficial ownership thereof to any person other than Vivendi Universal or any direct or indirect wholly owned subsidiary of Vivendi Universal, or (iv) January 22, 2007. (2) Financiere, on behalf of and for the sole benefit of Vivendi Universal, sold to the Company 5,760,479 shares of Preferred Stock, which, upon transfer, mandatorily converted into 57,604,790 shares of Common Stock. (3) On the terms described in Notes (1) and (2), the Preferred Stock was sold at an aggregate purchase price of $1,065,688,615, representing a purchase price per share of Common Stock, in cash, of $18.50. /s/ George E. Bushnell III, Vice President December 23, 2002 - --------------------------------------------- ----------------------- ***Signature of Reporting Person Date *** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. 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 OMB Number. Page 2 of 3 FORM 4 (continued) Additional Reporting Persons: Name and Address of Reporting Person: Groupe Canal+ 85-89 Quai Andre Citroen 75711 Paris Cedex 15 FRANCE Issuer Name and Ticker or Trading Symbol EchoStar Communications Corporation (NASDAQ: DISH, Pink Sheets: DISHP) Statement for Month/Year December, 2002 /s/ Xavier Couture December 23, 2002 - --------------------------------- ----------------- ***Signature of Reporting Person Date Name and Address of Reporting Person: Financiere De Videocommunication 85-89 Quai Andre Citroen 75015 Paris FRANCE Issuer Name and Ticker or Trading Symbol EchoStar Communications Corporation (NASDAQ: DISH, Pink Sheets: DISHP) Statement for Month/Year December, 2002 /s/ Marc-Andre Feffer December 23, 2002 - --------------------------------- ----------------- ***Signature of Reporting Person Date Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----